Compliance Advisor Professionals, LLC (CAP), provides customized consulting services in the area of investment adviser compliance with SEC, NASD and state rules and regulations.  Our consultants can provide your firm with specialized knowledge in particular areas of investment adviser regulation, thereby enhancing and improving your overall compliance systems, economically and efficiently.  Consider us an extension of your compliance staff without the expensive in-house costs.

With the increased level of scrutiny in today’s regulatory environment, it is critical to stay informed and be responsive to all regulatory issues that may impact you and your business.  Addressing your compliance concerns now allows you the freedom to focus on your core business, to increase your efficiency and profitability.  We pride ourselves on offering customized solutions for our clients and are committed to providing you with the personal attention you expect and deserve.  Whether we help you start your firm, or work with you on an ongoing basis with our retainer program, you can be assured that we have the industry experience and regulatory expertise to meet all of your compliance needs.  CAP’s services are designed to assist firms, like yours, understand and streamline their compliance responsibilities.  

                                                                We are “your compliance connection”!