Why Work With Us

Would you benefit from streamlining and simplifying your compliance program?

Dedicating the time and resources to comply with SEC regulations can seem daunting or even unmanageable for RIAs, especially in an ever-changing regulatory landscape. We heard you, and that’s why we started SCS with our hands-on approach. SEC compliance doesn’t have to be complicated, and we want to support you through that journey to simplicity.

We are here to help you navigate the SEC’s rules and regulations and incorporate those which apply to your firm. We listen carefully to learn and understand your challenges so you can maintain a customized compliance program that is streamlined, practical, and effective. Reducing the risk of compliance errors will reduce your stress and pace the way to a successful SEC examination.

  • Compliance can be layered, complex, and overwhelming, which is why we’ve found that our clients don’t know what they don’t know. The benefit in hiring us, is that your SCS Team will always cover your compliance blind spots and ensure you know what you need to know! We’ve got you covered!

  • Let’s face it: It can be overwhelming to understand and apply SEC compliance requirements that are specific to your business and 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 will avoid mistakes that could lead to deficiencies, enforcement actions, lost clients, or a damaged reputation. Teaming up with the right compliance consultant is a great investment in your firm.

  • When you partner with SCS, we walk with you every step of the way and customize your service package to meet you where you are, ensuring your pain points are addressed.

    We value our internal team-based approach and ensure that you will receive that same network of support in our services. We’ve got you covered and we’re here to be your CCO Companion!

  • We believe open and consistent communication is the most important aspect to a healthy and effective relationship. That is why all of our core compliance service packages include unlimited consulting.

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

  • We serve new investment advisers, established RIAs, and private fund advisers, both in the U.S. and internationally.

    Our clients manage a variety of client types, including high net worth individuals, charitable organizations, institutional clients, pension and profit-sharing plans, retail investors, state or municipal government entities, mutual funds, private funds, insurance companies, and banking or thrift institutions. Our clients employ various strategies on both a discretionary and non-discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Income, Private Equity, and Future Contracts.

    While our clients offer different services, they all face similar challenges and find themselves in need of a second set of hands. Compliance professionals often feel siloed and unsupported. We are here to lift these clients up and offer our expertise to make their compliance programs seamless and less time-consuming.

  • “SKBA has utilized the professionals at SCS since 2007. It’s a partnership that substantially reduces the burden on SKBA in maintaining our compliance program.”

    — Shelley Mann, SKBA Capital Management, LLC.

  • “SCS allows us to breathe easier knowing that an experienced compliance team is just a phone call or email away.”

    — Steven Weiss, Roosevelt Investment Group, LLC.

  • “SCS is the first (and often the only) place I turn to for help with our compliance needs. As a compliance officer who wears multiple hats, having SCS as a trusted partner gives me confidence, and their practical and timely advice helps me stay on top of the latest developments.”

    — Scott Bilyeu, Triangle Peak Partners, LP

Our Service Offerings

New Adviser Compliance Setup

This outsourced service is for newly-registered advisers, advisers switching from SEC to State registration or vice versa, and exempt reporting advisers switching to SEC and vice versa. SCS will walk you through the registration process, provide education around the rules specific to your business, and generate practical and fully compliant policies and procedures. All of which will make your compliance program simple and efficient from the beginning.

Mock SEC Exam

The time you invest in a mock SEC exam with us will save you time and stress during an exam with the SEC. We will assess your firm’s risks, identify inconsistencies between your operations and your written policies, and capture areas of potential deficiencies, which helps you demonstrate to the SEC that you take compliance seriously. You will be calm and organized, which will make for smooth sailing during your document request process and interviews with SEC staff. The Mock SEC Exam can also serve as the annual review for your firm.

Annual Compliance Review

This service is for currently registered Investment Advisers who are looking to streamline their compliance program and outsource their Annual Compliance Review. We strive to make compliance programs for registered advisors as practical, efficient, effective, and easy as possible. We start by listening to the challenges, pain points, and culture unique to your firm. We then strip away any practices and rules that are not applicable to your firm and document an annual review customized to your firm. SCS will act as an extension of your compliance team throughout the year and provide unlimited consulting support.