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Compliance Advisor Professionals, LLC (“CAP”) maintains this website exclusively for informational purposes.  The information published on this website is subject to change on a regular basis without notice.  Information on this website should not be relied upon as a substitute for legal, tax or accounting advice by a professional in your local jurisdiction.  Nothing on this website predicts or guarantees future results. CAP is not liable for the use or interpretation of information contained on this website, and expressly disclaims all liability for any actions you take or do not take based on this website's content.

Information provided on this website is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties of merchantability, fitness for a particular purpose, or non-infringement.  CAP assumes no liability or responsibility for any errors or omissions in the content of the website.   Under no circumstances and under no legal theory shall CAP be liable to you or any other person for any damages, whether direct, indirect, incidental, consequential or special, arising from your access to or use of this website.

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In the event that a securities regulator initiates an enforcement proceeding or asserts a violation of applicable law, CAP recommends that you retain legal counsel to represent you before the securities regulator.  Although CAP may serve as an expert regarding industry practices, CAP is not a substitute for engaging appropriate legal counsel to represent you.

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Testimonials

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 revie…”
– Jeff Mueller, CPA/PFS, Mueller Financial Solutions Co.

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