Compliance Advisor Professionals, LLC

Your Compliance Connection

Compliance Advisor Professionals, LLC (CAP), is a compliance consulting firm dedicated to helping investment professionals and investment advisory firms meet their regulatory compliance needs. Our compliance experts have in-depth knowledge of complex SEC and state rules and regulations. We apply that knowledge to the particular needs of your firm to ensure that your compliance needs are met on an ongoing basis. CAP works with investment advisory firms of all sizes, both domestic and international. 

Our professionals will help you to identify which regulations apply to your organization and share our specialized knowledge of all applicable regulatory requirements, particularly in the areas of investment advisor registration and ongoing compliance maintenance. We will continue to work with your firm, offering varying levels of support in accordance with your specific needs. We offer our clients expertise that is tailored to their needs, delivered efficiently to best conserve their resources. Our clients appreciate this thorough, yet cost-effective, approach.

We make it our business to keep abreast of changes and developments in compliance regulations, so that the investment advisory firms and advisors we assist can devote their attention to the advice their clients rely on them to provide. Today, more than ever, investment advisors’ compliance with current regulations is heavily scrutinized. Time is money; we know your time can be more profitably spent serving your clients rather than deciphering and responding to the latest SEC and state regulations. CAP’s dedication to helping you stay ahead of compliance requirements allows you to operate your firm efficiently, being confident that your regulatory responsibilities are met.

Whether you need help with the initial process of registering your investment advisory firm, or ongoing support understanding and complying with regulatory requirements, CAP offers services customized to you and your business. Our professionals offer decades of industry experience and regulatory expertise, along with a sincere interest in the success of your firm.

While other compliance consulting firms may focus on making sure your business checks all the boxes on their standard checklist of requirements, CAP goes beyond the “off the shelf” to offer personalized attention, customizing a compliance program designed specifically for each of our clients. We invite you to explore our website and discover how CAP can customize compliance solutions for your firm. 

Testimonials

As an attorney for 15 years in another heavily regulated industry, I have experience working with compliance professionals and the daunting task of setting up a compliance program.  Before working with Ellen and her team, I had many concerns about c…”
– David Schram, JD, Elements 5 Investment Management, LLC

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