With a Talented Team ...


For more than a decade, our consultants have been servicing institutions in the financial securities industry on regulatory and compliance matters. They have worked with hundreds of firms across the globe, with assets under management exceeding $100 billion, on business development, SEC inspections, and implementation of best practices. They conduct seminars throughout the country on topics including quality control and compliance with federal and state securities laws.


Our consultants have also guided firms through the mergers and acquisitions process including a firm responsible for managing more than $13 billion. They have also worked with the largest GIPS verification firm in the country. We have served as CCO for numerous asset managers and mutual fund entities, responsible for their compliance environment related to the Investment Advisers Act and The Investment Company Act of 1940, and the Employee Retirement Income Security Act of 1974 (ERISA). The firms founder obtained his initial industry experience as a Compliance Examiner and later as a Staff Accountant, for the U.S. Securities and Exchange Commission at the SEC's Atlanta Regional Office. Having conducted on-site inspections of investment advisers, investment companies, broker-dealers and various other financial securities firms on behalf of the SEC, he is able to offer our clients invaluable first hand knowledge of the process.


Our consultants speak frequently at various industry conferences including National Association of Securities Professionals, Sungard Users Network, IMN Frank Fabozzi Performance Conference, Progress Investment Management Conference, Triad Investment Adviser Conference, IMN Equities Summit, and Securities Consultants International Compliance Seminars.

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