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…

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…

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…

Testimonials

All of us at Montanaro have been delighted to work with Ellen Bruno and her team over the past two years.  Their level of efficiency and professionalism is difficult to match. They have set high standards for compliance advisory in the UK. It was ha…”
– Cedric Durant des Aulnois, Montanaro Asset Management

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