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 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 ou…”
– David J. Yvars, Sr., The David J. Yvars Group

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