RIA logo
MENU

Compliance

We get it.

Compliance can often be seen as the “Business Prevention Unit.”  However, nothing can undermine an adviser’s reputation (and career) quicker than a sanction from a regulatory agency or an adverse verdict in a civil suit.  It is important to find a partner focused on helping you grow your business in a compliant fashion.

Our compliance team not only has experience in developing the processes and procedures needed to comply with applicable rules, but it also includes a licensed attorney whose private practice included litigating disputes and counseling clients on ERISA matters.  Imagine that… your own in-house ERISA attorney who knows how to handle himself in a courtroom should the need arise.

In its simplest terms, compliance is about acting in clients’ best interests.  As a firm that has worked (and thrived) under the ERISA fiduciary standard for many years, we understand compliance and growth can go hand-in-hand and we continually strive to strike that balance for our partners.

We have Resources.

Let us know how we can work together to reach your goals.