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 for meeting regulatory requirements conform to their way of doing business and don't get in the way.

We don’t believe in a “one size fits all” model. Our service is based on developing relationships with our clients, learning about their business needs so that they receive the compliance support they need without paying for services they don’t require.

With this in mind, CAP offers retainer services designed to streamline compliance support, offering our clients clear and helpful understanding of regulatory requirements. Depending upon the need of the client, these services are available on a fixed-fee basis, in order to maximize cost-effectiveness.

CAP provides retainer clients with fulfillment of all regulatory requirements, including assistance with regulatory filings and development and maintenance of Compliance Program documents, customized for their specific needs and circumstances. As part of our service, we also work with clients to develop a compliance checklist to which they can refer in order to feel confident that they are on top of all or their compliance responsibilities throughout the year.

We also offer monthly or quarterly calls for those clients who prefer additional support to help ensure that their compliance regimen is on track and up-to-date with the latest regulatory requirements.

Our annual retainer services include:

  • Unlimited telephone consulting on compliance matters, including a regular monthly or quarterly call to review and document compliance issues. (Clients may also choose retainer services without regular calls, if they prefer.)
  • Ongoing review and amendment of:
    • Form ADV Part I
    • Form ADV Parts 2A, 2B, and Form ADV Part 2A Appendix 1 (Wrap Fee Brochure), as applicable
  • Form  ADV Annual Amendment
  • Notice Filings in States
  • Annual State Renewals
  • Form U4 and U5 filings
  • Review and amendment of Compliance Program documents, including:
    • Compliance Manual
    • Code of Ethics
    • Business Continuity Plan
    • Compliance Checklist
    • Written Information Security Plan
    • Privacy Notice
  • Annual Review of Compliance Program
  • Review of marketing materials, as needed
  • Compliance Training for Staff
  • Regulatory updates
  • SEC/State examination management and support

The team members at CAP look forward to working alongside you to understand and fully address your compliance support needs and ensure your firm meets all applicable regulatory requirements. 

Testimonials

We have always found Ellen and her team to be professional, helpful and timely. We know them to be committed to excellent service. We rely a great deal on Compliance Advisor Professionals, accessibility, responsiveness and resourcefulness. I have the…”
– Institutional Investment Manager, London

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