We have an online portal of compliance resources to use with your existing technology solutions.
Maintain audit logs, ongoing delivery and access persons reporting for SEC/NASAA* Model Rule 204-2, 204-3, 204A-1, and Rule 206(4)-7 (and similar state rules).
Collaborate, Network, and build your firm
We built our system to use with other advisor technology solutions to help aggregate compliance events, notes, documents, and audit logs in an app of your choice.
"Cory is an outstanding professional. As a consultant to my growing investment practice, he has added a tremendous amount of value. LinkedIN has 7"top attribute" boxes,but limits your selection to 3. I would definitely select all 7 if given the opportunity! He works hard, knows his stuff, and provides great value. More than anything, I appreciate that Cory is an individual with strong moral values and principals, which is evidenced by his extra-curricular activities and volunteerism."
"I can't say enough good things about Cory. He's done a great job fixing and maintaining our compliance issues. I highly recommend Cory!"
"Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks."