We Mitigate Risk So You Can Focus on Your Business
DFP Partners offers wide-ranging compliance solutions for investment advisers.
Our seasoned professionals can facilitate your registration with any state or the Securities Exchange Commission (SEC), act as or assist your Chief Compliance Officer (CCO), and support your firm’s ongoing compliance with the rules and regulations of the industry.
Our teams can lead or support the development of a customized compliance program, the adoption of written policies and procedures, the designation of a knowledgeable CCO, and the execution of the annual review.
We assist with SEC registration requirements, including creating and filing documents such as all parts of Form ADV, developing compliance manuals, reviewing marketing materials, and more.
Our compliance services also include assisting to Exempt Reporting Advisers (ERAs) with the federal registration process. While ERAs are not subject to the same registration requirements and record-keeping rules as Registered Investment Advisers (RIAs), they are responsible for anti-fraud rules and pay-to-play provisions — our help with compliance policies and procedures can avoid securities violations and protect investor information.