Custom Consulting

We have developed a broad portfolio of custom consulting services to meet the needs of larger financial institutions.  As one of the industry’s most trusted brands, we speak in a genuine voice that is both thoughtful, direct and unafraid of controversy.

Speaker’s Bureau

We are always open to sharing our years of learning, and welcome your requests and suggestions for presenting on a variety of topics.  Perhaps you would like to discuss the intricacies of our industry-leading investment advisor launch process, including what to expect and common pitfalls, as well as issues faced by advisors shortly after registration. In that case, one of our presentations geared towards new entrants in the industry will leave your attendees feeling well-prepared for the road ahead.  Or, perhaps your audience is primarily comprised of experienced practitioners.  Let us discuss some practical, hands-on topics such as new and proposed regulation or challenges faced by RIAs.  We strive to ensure that our presentations include a broad landscape and incorporate practical suggestions in order to allow attendees to put the issues presented into perspective and into action.

Writer’s Bureau

In addition to our speaking engagements, we often collaborate with industry leaders to prepare written articles on relevant regulatory compliance topics for publication in newsletters, whitepapers, websites, and more. Leveraging our expertise in registered investment adviser regulatory compliance and risk management, in conjunction with our creativity and straightforward approach, we produce stunning content to share with your audience.

Verification Services

When it’s critical to ensure that your compliance program adequately reflects the stringent regulatory requirements imposed upon investment advisors, we stand ready to evaluate the efficacy and readiness of a firm’s compliance program. Whether it’s part of acquisition due diligence, staff turnover, or a specific concern, our verification services gives industry executives the insight they need to make informed business decisions.

Litigation Support

As leaders in the securities industry, we will review your case to identify if there were any violations of laws, rules, regulations or professional standards to ascertain if there is a credible grievance. Should you then decide to move forward with litigation, we remain available to assist with discovery support, consult on the formulation of a strategy and furnish expert witness testimony.