Hands-on Help You Can Trust

Why Partner with SCS?

When you partner with SCS, you’ll hire RIA compliance experience that comes from working with hundreds of investment advisers from a variety of asset classes and business models. There are so many SEC compliance requirements and so many places you have to look to find answers. It can be overwhelming trying to figure out not only what the rules mean but how they apply to your specific business and how to incorporate them into your RIA compliance program. Our compliance consultants have the knowledge and expertise to get you compliant quickly, streamline your efforts, save you time, and help you sleep at night at a fraction of the price of hiring internally. You’ll avoid mistakes that could lead to deficiencies, enforcement actions, lost clients, or a damaged reputation. Teaming up with the right registered investment advisor compliance consultant is a great investment in your firm.

Our Consultants Encourage Unlimited Correspondence

We believe communication is the most important aspect to a healthy and effective relationship. That is why for all of the compliance services we offer, we include unlimited compliance consulting in our service offerings.

We encourage you to call with questions and proactively address your SEC compliance concerns and issues whenever possible. Knowing that you will not get a bill every time you call opens the door to a constant flow of open, honest communication with our consultants and allows us to be effective in supporting your RIA compliance needs.

Request a Complimentary
RIA Compliance Strategy Session

RIA Compliance Services

Our financial consultants assist Registered Investment Advisers with three primary services: Mock SEC Examination, Annual Compliance Review, and New Adviser Setup. We value building long-lasting relationships with our clients and these three outsourced services allow us to be your CCO companion and support your RIA compliance—past, present, and future. Our mock SEC exam is a retrospective look at where you’ve been and what you can do to improve your compliance going forward. The New Adviser Setup is a quick-start to compliance, getting you compliant now, so that you can focus on the reasons you decided start your RIA in the first place. The Annual Compliance Review service helps you with your day-to-day, month-to-month, quarter-to-quarter RIA compliance requirements. We’re here to proactively address any questions or concerns that arise and help you stay on top of your annual review.

New RIA Adviser Setup

Start with your best foot forward. Our consultants will get you accurately registered with all applicable agencies, educate you on the requirements specific to your business model, and develop practical, fully compliant policies and procedures that make your registered investment adviser compliance simple from the start. Learn More »

Annual SEC Compliance Review

Streamline your SEC compliance efforts. We’ll help you strip away the unnecessary and provide the systems, infrastructure, and guidance needed to manage and document an organized and methodical annual compliance review. Learn More »

Mock SEC Exam

Enter a real SEC exam with confidence. We’ll bring to light areas of potential deficiencies, provide the necessary education and resources to remedy them, and prepare your employees for interacting with SEC staff. Practice makes permanent. Learn More »