Our Approach

Hands-On

We recognize that it is critical for firms to have customized compliance programs and to not rely on off-the-shelf templates. We approach each engagement by first taking the time to understand the intricacies of the firm and to create custom solutions. We take a hands-on approach to every engagement, for example:

  • We work as a project manager to ensure projects are completed as scheduled by interacting and communicating with internal departments such as compliance, performance measurement, legal, and client relations as well as external parties such as portfolio administrators and verifiers.
  • We do the heavy lifting of documenting your policies and procedures and ensuring that they are properly implemented at your firm.
  • When we review advertising materials, we not only provide feedback as to what must be included in order to comply with the Advisers Act or the GIPS® standards, we also make suggestions about things that could be done to improve the materials above and beyond the requirements and, if desired, we make the updates directly to the materials.