Our Approach

Our goal is to help manage your compliance responsibilities as an investment and financial services advisor at a cost that works within your budget. To achieve that goal, we bring a number of advantages to the table.

It goes without saying that a firm offering compliance support to investment advisors should be not only familiar with, but deeply knowledgeable of, the financial services industry. Our professionals include a CPA and former Chief Compliance Officer of an investment advisory firm. Our team members have spent years, and in some cases decades, in the financial services industry. They know firsthand the requirements and challenges investment advisors are facing.

As much as our clients in the financial services industry respect our expertise, they value, even more, the personalized service that we provide to them. One of our core values at Compliance Advisor Professionals (CAP) is to provide the precise compliance support our clients need--and every client is different. By taking the time to get to know our clients and their circumstances, we can offer the type and level of services they require. We know that regulatory agencies do not look favorably on boilerplate or “cookie-cutter” compliance programs; so we make certain our clients’ compliance documents accurately reflect their current business models.

At CAP, we do not try to sell our clients anything outside of what they need. We work with our clients to help them identify compliance issues and customize solutions which best fit their firm, ensuring that they meet all regulatory requirements for the financial services industry, whether they are SEC or state registered.

We offer startup services. These include initial investment advisor registration; ongoing compliance services; compliance support on a retainer or as-needed basis; preparation and filing of ADV and Form U4 amendments; development of Compliance Program documents, including Compliance Manuals, Codes of Ethics, Business Continuity Plans; and other documents as needed. Carefully customizing our services to our clients’ needs means that we provide them as much support as they require without them paying for unnecessary services.

We pride ourselves on the relationships we have developed with our clients. We invite you to contact us to learn more about how our customized compliance support services can benefit your firm. 

Testimonials

Ellen has done a great job managing our compliance needs. ”
– Wealth Manager, Baton Rouge, LA

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