Testimonials

Our client base consists of investment adviser firms and professionals across the country and internationally. Here is what some of customers are saying about our investment adviser compliance support:

"Ellen Bruno has provided compliance services to our firm for over two years. I am continually impressed with the depth of her knowledge, her timeliness, common sense, attention to detail and client focused attitude. I strongly recommend Ellen and Compliance Advisor Professionals, LLC to any firm seeking first class advice and service."

Wealth Management Firm

New Orleans, LA

"I have enjoyed working with Ellen, both personally and professionally. She and her team provide us with invaluable counsel and assistance with much of the "heavy lifting" that our compliance program requires. We could not operate our small boutique without their advice and service."

Executive Benefits, Financial Planning and Investment Management Firm

Allentown, PA

"In the beginning, our knowledge about Registration and Compliance would fit on a 3x5 card. But our concern level about these issues was off the scale. CAP makes the overwhelming, very manageable and the confusing, simple. After the first few meetings, we realized that CAP was truly invested in our well-being and success. In life and in business, when other people actually proactively think and plan for you, the last thing you do is let them go. Besides, who wants to go through life with just "vendors" and "clients", when you can achieve the same with "partners" and "friends"?"

Institutional Investment Manager

Marietta, GA

"Ellen has done a great job managing our compliance needs."

Wealth Manager

Baton Rouge, LA

"We have always found Ellen and her team to be professional, helpful and timely. We know them to be committed to excellent service. We rely a great deal on Compliance Advisor Professionals, accessibility, responsiveness and resourcefulness. I have the utmost confidence in her professional skills in dealing with our business needs."

Institutional Investment Manager

London

"As a busy CPA/PFS and RIA the thought of trying to keep up with all the requirements of the SEC, etc., can be overwhelming. Ellen and her group have stepped in and guided me through each and every process and also helped me survive my first SEC review. They are an awesome resource and price their services very fairly."

Investment Advisory Firm

Canon City, CO

"When I needed help establishing my business, I launched a nationwide search for a compliance solution. I found a lot of solid candidates, but I knew that a solution that goes beyond the normal scope of compliance would make my life simpler and my business more successful. With this in mind, one choice stood out from the rest, Ellen Bruno. Aside from her obvious compliance experience, she demonstrated a keen business savvy and magnetic personality. Once I engaged her services, I quickly discovered that her team possessed a similar level of skills and enthusiasm. Since then, I've grown ever more impressed with the team's capabilities and willingness to make my business a top priority. I consider myself smart and lucky for finding such a group."

Institutional Investment Manager

Naples, FL