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Investment Advisor Registration
Compliance Advisor Professionals, LLC (CAP) partners with firms planning to register as an investment advisor with the United States Securities and Exchange Commission (SEC) or with state securities regulators. The regulator with which an investment…
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Ongoing Compliance Support
Compliance Advisor Professionals, LLC (CAP) is dedicated to understanding and meeting the compliance needs of each client in an efficient, thorough, and cost-effective manner. In order to craft customized compliance support solutions, we analyze each…
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Retainer Services
At Compliance Advisor Professionals, LLC (CAP), we are dedicated to providing investment advisors customized services tailored to their business model and needs. In our experience, advisors are best able to help their clients when compliance services…
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