Customized Compliance Solutions – Since 1989

Founded in 1989, Compliance Advisers, Inc. is an industry-leading, boutique regulatory compliance consulting firm that specializes in providing Customized Compliance Solutions™ to Broker Dealers, Investment Advisers and Investment Companies throughout the United States.   We strive to develop partnerships with our Clients to provide value by offering expert guidance and a full array of solutions customized to help each specific business meet its compliance and regulatory requirements.

Our consultants have an average of more than 20 years experience in the securities/financial services industry and stay abreast of the latest regulatory requirements to keep Compliance Advisers assisting clients in meeting the demanding and sometimes overwhelming regulatory requirements of the financial services industry – from ongoing expert advice and assistance to interim compliance staffing needs.

Our customized solutions include—

  • Comprehensive New Broker Dealer Registration Packages
  • Comprehensive Investment Adviser Registration Packages
  • Investment Adviser (Rule 206(4)-7) & Investment Company (Rule 38a-1) Annual Reviews
  • Investment Adviser Business Continuity and Succession Plans
  • Financial & Accounting Services – Financial Principal, FOCUS Reporting, Annual Audit Assistance
  • Written Supervisory Procedures & Compliance Manuals, Gap Analyses
  • Forensic Tesing, Internal Controls Testing, Mock Audits
  • FINRA (NASD) Rule 1017 Continuing Membership Applications
  • Annual Compliance Requirements Reminders
  • Annual Compliance Meetings Development and Administration
  • Continuing Education Programs Development
  • AML Compliance Programs, Training & Independent Testing
  • General Compliance Consulting

When we began as a small one-person firm, integrity and trust were the keys to our future success. We were right. Today we still believe in these values, and practice them on every project. These beliefs have made our firm an industry leader in providing customized compliance solutions for our customers. We service small to medium sized clients throughout the United States and only highly qualified consultants serve them. At Compliance Advisers, our consultants are committed to providing clients with only the best customized compliance solutions in the industry.

Click here to inquire,  call us today at (303) 795-0400 or Request a Customized Quote for a service specifically for your business needs and budget. Or you may request information by email


Customized Compliance Solutions™