DFP Partners Regulatory Services provides full-service compliance consulting to firms seeking SEC or state registration services. We provide a number of services to RIAs including outsourced accounting, ongoing compliance, mock exams and regulatory exam support, advertising review, annual review, and more. Relying on our decades of experience, we can also act as your designated Chief Compliance Officer.

While not required by the SEC, investment advisers can also benefit from our independent testing of your Anti-Money Laundering (AML) programs. Our testing professionals are Certified AML Specialists (CAMS) and members of the Association of Certified Anti-Money Laundering Specialists (ACAMS).

The SEC continues to highlight cybersecurity as a top compliance risk to registered investment advisers. DFP Partners will help you manage your cybersecurity policies and procedures and administer training to your firm.

DFP Partners is a CPA firm that has been recognized for its accuracy and professionalism in outsourced Client Accounting Services for over four decades.