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.