About Us

Compliance Advisor Professionals, LLC (CAP) is a team of experts from the securities and financial industries with backgrounds in investing, accounting and marketing, as well as investment adviser compliance and registration.  We focus on assisting investment advisers meet their compliance obligations and understand all the issues surrounding investment adviser regulatory requirements and registration. CAP will guide you through all of your compliance regulatory and operational questions, as well as provide you with the assistance you need to effectively run your business and meet government regulations.  We work with all types of investment advisory firms, from small to large, state to federal, domestic to international.  Our goal is to help manage your investment adviser compliance responsibilities at a cost that works within your budget.

We customize investment adviser compliance solutions to your unique needs and challenges.  SEC investment adviser regulatory requirements have recently become stricter and more complex. Cost conscious investment advisers have enough to worry about building their business. Let us use our compliance expertise to customize a solution that meets your unique needs while bringing you our personal and professional touch.

Our goal is to provide you with the highest possible level of customer service by offering solutions that are customized to fit your individual needs, streamline your compliance operation, meet compliance and investment adviser regulatory requirements and ultimately reduce your overhead costs.