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

I am a CPA and the sole owner of an RIA. Initially I was attracted to CAP because Ellen is a CPA. The professionals of CAP are A+++++++. My firm / practice would not exist if it were not for CAP.”
– John Funk, CPA, Quest Investment Portfolio Management, Limited

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