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

Ellen Bruno and her team have provided U.S. compliance services to us for our dual-regulated firm based in the UK for over 10 years. Ellen is practical, business focused and sensitive to the challenges of dual regulation.”
– Caroline Wells, Sarasin Asset Management, London

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