Our client base consists of investment adviser firms and professionals across the country and internationally. Here is what some of customers are saying about our investment adviser compliance support:

Ellen Bruno has provided compliance services to our firm for over two years. I am continually impressed with the depth of her knowledge, her timeliness, common sense, attention to detail and client focused attitude. I strongly recommend Ellen and Compliance Advisor Professionals, LLC to any firm seeking first class advice and service.

– Robert W. Katz, CPA, IBERIA Asset Management

I have enjoyed working with Ellen, both personally and professionally. She and her team provide us with invaluable counsel and assistance with much of the "heavy lifting" that our compliance program requires. We could not operate our small boutique without their advice and service.

– Paul Barbehenn, Andesa Financial Management, Inc.

In the beginning, our knowledge about Registration and Compliance would fit on a 3x5 card. But our concern level about these issues was off the scale. CAP makes the overwhelming, very manageable and the confusing, simple. After the first few meetings, we realized that CAP was truly invested in our well-being and success. In life and in business, when other people actually proactively think and plan for you, the last thing you do is let them go. Besides, who wants to go through life with just "vendors" and "clients", when you can achieve the same with "partners" and "friends"?

– Matt Burton, CFA, Narwhal Capital Management, LLC

Ellen has done a great job managing our compliance needs.

– Wealth Manager, Baton Rouge, LA

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 utmost confidence in her professional skills in dealing with our business needs.

– Institutional Investment Manager, London

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 review. They are an awesome resource and price their services very fairly.

– Jeff Mueller, CPA/PFS, Mueller Financial Solutions Co.

When I needed help establishing my business, I launched a nationwide search for a compliance solution. I found a lot of solid candidates, but I knew that a solution that goes beyond the normal scope of compliance would make my life simpler and my business more successful. With this in mind, one choice stood out from the rest, Ellen Bruno. Aside from her obvious compliance experience, she demonstrated a keen business savvy and magnetic personality. Once I engaged her services, I quickly discovered that her team possessed a similar level of skills and enthusiasm. Since then, I've grown ever more impressed with the team's capabilities and willingness to make my business a top priority. I consider myself smart and lucky for finding such a group.

– Institutional Investment Manager, Naples, FL

As an attorney for 15 years in another heavily regulated industry, I have experience working with compliance professionals and the daunting task of setting up a compliance program.  Before working with Ellen and her team, I had many concerns about choosing a compliance advisor for financial services and whether the firms I had interviewed would be able to help me create a customized program based on my particular needs for my advisory firm.  Ellen has truly simplified the process of putting together a compliance program for me.  I am highly satisfied with the CAP team’s guidance and the work products we’ve created; and I strongly recommend them to any firm of any size for compliance services.

– David Schram, JD, Elements 5 Investment Management, LLC

Our firm’s decision to engage Ellen Bruno and her team at Compliance Advisor Professionals, LLC, resulted in aligning our firm with a tremendous resource.  As I moved into the role as the firm’s Chief Compliance Officer, I had (literally) big shoes to fill.  So began, what I believe to be, a key alliance for the successful update and implementation of our Compliance program.  Ellen brings a wealth of knowledge, combined with common sense, and a genuine interest in working with our firm.  She is our advocate.  I enthusiastically recommend Ellen and her team at Compliance Advisor Professionals, LLC. 

– Sally Long, CTFA, Joseph Capital Management, LLC

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 hard to notice that we were on different time zones.  Most importantly, they are delightful people to work with.

– Cedric Durant des Aulnois, Montanaro Asset Management

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

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

Our firm began working with Compliance Advisor Professionals while transitioning to a fee-only model several years ago.  Moving from the FINRA brokerage environment to an SEC advisory approach included a steep learning curve for me as the newly appointed CCO.  Different and immediate reporting requirements were handled readily and most effectively with the assistance and services provided by CAP.  Most importantly, their approach was to provide education and counsel.  Ellen and the rest of the team focused first on our relationship, which offered assurance to us that the support they provided would be designed around our particular needs, and remains this way to this day.  Their attention to detail and commitment to stay apprised of the constantly changing regulatory environment has and continues to offer us the reliance we need.

– Kimberly R. Taylor, IACCP®, Vantage Financial Partners Limited

I wanted to thank you for all you have done for us through our recent SEC audit.

The positive results of our SEC audit is verification that the services your firm has provided to us, for the last 10 years, has proven to be a successful approach to our compliance needs.  Something we all should be very proud of!

On a personal note, you have also been a pleasure to work with over the last 10 years.

Let’s continue to be at the top of our game! Mediocrity  is never an option when it comes to compliance!

– David J. Yvars, Sr., The David J. Yvars Group

Testimonials

Our firm’s decision to engage Ellen Bruno and her team at Compliance Advisor Professionals, LLC, resulted in aligning our firm with a tremendous resource.  As I moved into the role as the firm’s Chief Compliance Officer, I had (literally) big sh…”
– Sally Long, CTFA, Joseph Capital Management, LLC

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