Providence Compliance

About

We are a boutique regulatory compliance firm for Registered Investment Advisers (RIA) registered at the SEC and state levels. Unlike most of our competitors, our focus is on helping the newly registered RIA that may not have the financial resources for a dedicated compliance department or expensive compliance consulting firm. Still, it could benefit from sound advice from seasoned and knowledgeable regulatory compliance professionals. By providing quality service and expertise in RIA compliance, we strive to develop a personal connection with every one of our customers. Get in touch with us when you're ready to learn more; we can't wait to meet you!

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Our services

New Advisor Training

Newly registered and not sure where to begin as it relates to compliance? Let us help you. We can educate you on regulatory books and records requirements and guide you on compliance best practices. We can review your Compliance Manual, Advisory Agreement, and other required documents for compliance deficiencies. This level of service helps provide you with the knowledge needed to establish a sound regulatory compliance program.

Comprehensive Compliance Support

In need of regular, ongoing access to a compliance consultant? This service level is the best option for you. Suppose you need help with creating/editing documents, reviewing marketing/advertising, filing regulatory documents, or just someone to call with questions as they arise. In that case, we'll create a tailor-made solution that's specific to your needs and budget.

Regulatory Examination Support

Is your RIA being examined by the State or SEC? We can help with that. We can help provide insight into the regulatory examination process and help demystify that dreaded document request list by providing clarification and guidance. If the examination reveals deficiencies that need correcting, we can assist with that.