SEC Compliance Solutions

We Help Streamline Your RIA Compliance Program

SEC Compliance Solutions helps new investment advisers, established RIAs, and private fund advisers streamline their compliance program. The SEC makes the rules; we make it easy for RIAs to apply them.

Meet the Team


New Adviser Setup

Build a compliant foundation. Get accurately registered, educated on the rules specific to your business, and achieve practical and fully compliant policies and procedures.

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Annual Compliance Review

Simplify SEC compliance. Embrace simplified policies, streamlined procedures, minimized risk of oversights, and an organized and methodical annual review.

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Mock SEC Exam

Comply with confidence. Reveal potential areas for improvement; receive the necessary education and resources to strengthen them; and prepare your employees for interacting with SEC staff.

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NSCP National Conference 2021
Nov 08
NSCP National Conference 2021
November 08, 2021

November 8-10, 2021 – National Harbor, MD Read More »

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Compliance Blog

How are you handling the Pandemic?
How are you handling the Pandemic?

March 23, 2020

It didn’t take long for advisors to start receiving requests from underlying managers, investors and even the SEC on how they were responding to the pandemic.   Areas being addressed, include, but are not limited to: A copy of your firm’s Business Continuity Plan (“BCP”) and any additional policies to how your firm responded to theRead More »

Compliant Advertising: Breaking it Down – Part 4: Performance
Compliant Advertising: Breaking it Down – Part 4: Performance

March 06, 2020

Review of Part 1: The Foundation In the first article of this series, we discussed the foundational information you need to know to ensure your marketing and advertising materials are in compliance with the SEC’s rules and regulations.  We helped you clearly understand: the SEC’s definition of an “advertisement.” What is considered an advertisement, whatRead More »