Case Studies

Case studies from a sampling of current clients


Who: A Texas-based solo practitioner registered with the State Securities Board. The firm provides investment advisory, consulting, and financial planning services.


Problem: As a newly registered firm, the advisor needed additional insight with applying the state rules to its practice.


Solution: On an ongoing basis, we provide a solution for the firm to customize its compliance procedures, apply disclosures, and update documentation based on firm changes. We also assist the firm with its periodic filings.


Topics Covered:

  • Policies and Procedure reviews
  • Compliance Duty Checklists/Logs
  • Adding new business activities/disclosures
  • Updating ADV and advisory agreements
  • Compliance system demo/notifications


Who: A California-based advisory firm (>$110MM AUM) with a small staff that is registered with the Securities and Exchange Commission (“SEC”). The firm provides investment advisory, financial planning, third-party referrals, and tax services to a growing audience.


Problem: The partner is juggling multiple roles. Along with multiple firm changes, the advisor needs assistance with its compliance duties in relation to the SEC’s annual review requirements of firm policies and procedures (ref. Rule 206(4)-7).


Solution: On an ongoing basis, we provide a solution with assistance for the firm to customize its compliance procedures, apply disclosures, review procedures, and update documentation based on firm changes. We also assist the firm with its periodic filings


Topics Covered:

  • Policies and Procedures review
  • Quarterly Checklists/notifications
  • Annual Filings and fees
  • SEC audit support
  • Compliance system demo


Who: A California-based advisory firm (>$70MM AUM) with a small staff that is registered with the Department of Financial Protection & Innovation. The firm, which maintains foreign business activities, provides investment advisory, financial planning, consulting, and tax services for residents in the United States and for expats abroad.


Problem: The partner needed assistance with training an operations staff member to update the firm’s compliance policies and procedures.


Solution: In an action plan review, we assisted the firm with understanding which policies apply to the firm along with a series of recommendations for the practice.


Topics Covered:

  • Policies/Procedures Manual updates
  • Business Continuity Plan testing/procedures
  • Cybersecurity/Privacy policy
  • CA State audit books and records


Who: A Pennsylvania-based advisory firm (>$30MM AUM) with a small staff that is registered with the Pennsylvania Department of Banking and Securities. The firm provides investment advisory, consulting, and financial planning services.


Problem: Operations staff member needs ongoing assistance with updating the firm’s compliance policies and procedures.


Solution: On an ongoing basis, we provide answers to support the firm in customizing its compliance procedures, disclosures, and update documentation based on firm changes. We also assist the firm with its periodic filings.


Topics Covered:

  • Procedures/Procedures Manual updates
  • Custody/Fee Billing procedures
  • Advertising Guidelines
  • ADV Part 2A/B Filing Updates
  • Disclosures for outside business activities
  • Service changes
  • Compliance Notifications
  • Gifts and Entertainment polices


Who: A California-based robo-advisory/broker-dealer firm with a small staff that is registered with the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”). The firm provides internet only services and maintains some business activities abroad.


Problem: The partner is onboarding an operations staff, which includes two registered representatives, to manage the firm’s compliance duties for both its jurisdictions.


Solution: We provide answers to support the firm in customizing its compliance duties, disclosures, and updating documentation based on firm changes. We also assist the firm with its periodic filings.


Topics Covered:

  • Robo-advisory services
  • Custody/Fee Billing procedures
  • Advertising Guidelines
  • SEC ADV Part 2A, Form CRS, Filing updates
  • FINRA ADV Form BR filing updates
  • Disclosures for outside business activities
  • Service changes
  • Compliance Notifications


Who: A Florida-based advisory firm (>$400MM AUM) that is registered with the Securities and Exchange Commission (“SEC”). The firm provides portfolio management and pension consulting services.


Problem: The firm needs an online compliance system for resources.


Solution: We provide access to our online compliance-subscription based system.


Topics Covered:

  • Compliance/System Demo
  • Templates/Forms/Calendar

  • Sign Up for Account

  • Take Assessment

  • Discuss Services with our Team

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