David Schram, JD

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.

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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