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… Read More

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… Read More

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… Read More

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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