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Outsourced chief compliance officers.

Every firm here was named as a third-party CCO by at least one SEC-registered investment adviser in Form ADV filings. The number is how many advisers named it.

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The Shortlist is Yoursfrom this directory
Shortlist the Modern WayOutsourced CCO firms
01
Listings sourced
A card shows a public register or the date we read the firm’s website
02
Published prices where they exist
“Quote only” where we confirmed it, “Not published” where we have not
03
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Showing 579

Listed in random order, reshuffled each time the page loads. Firms that pay for a listing are shown at the top, labeled Sponsored.

ACA GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 114 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Dinsmore Compliance ServicesCincinnati, OH, USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 106 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
Key Bridge ComplianceCovington, KY, USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 55 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
Vigilant ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 31 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
ACA GlobalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 30 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Gery Sadzewicz ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 25 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
Tru IndependencePortland, OR, USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 22 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
Beacon Compliance ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 21 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Compliance Risk ConceptsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 20 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Oyster ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 20 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Adviser Compliance AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 17 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
DFP Regulatory ServicesNew York, NY, USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 16 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
Gery SadzewiczUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 16 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
SwayzePrinceton, NJ, USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 15 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
Calfee Strategic SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 12 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Nextier SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 10 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
Pine Advisor SolutionsDenver, CO, USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 10 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
VigilantUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 10 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Abide Consulting GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 9 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
Adviser Compliance ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 9 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Website ↗Claim this listing →
AdvisorlawUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 9 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
InlineUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 9 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Toroso InvestmentsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 9 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Bristal Lane GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 8 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
CCO TechnologyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 8 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
IQEQ US Management CoUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 8 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
3ICOUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 7 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Aspect AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 7 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
FisolveUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 7 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
IQ-EQ Fund ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 7 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Chenery Compliance GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 6 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Cima Financial Regulation ConsultantsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 6 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
E78 PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 6 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
LawvisoryUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 6 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
The Financial Planners AssistanceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 6 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Foreside Financial GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 5 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Investment Adviser Compliance ConsultantsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 5 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Outsourced Compliance GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 5 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
AdvisorassistUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 4 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Belpointe ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 4 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Holos Law GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 4 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
InnregUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 4 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Reymann Law Group P AUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 4 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
REYSAUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 4 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Tmorgan Advisers Limited LiabilityUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 4 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ally Compliance PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
AltpilotUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Bates GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Calfee Halter & GriswoldUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Core-cco ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Dziura Compliance ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Gryphon Compliance ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
IQEQUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Libscor AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Nca ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Parkside Compliance PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Salus GRCUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Shaver Law GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Sound Point Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Stile Compliance ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Venturis SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Wade BoylanUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 3 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
ACAUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
AccredenceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Adviser Compliance Associates LLC Dba ACA GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Adviser Compliance ConslutingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Advisers Compliance AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Advisor GuidanceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Allegiant Global SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Altemis Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Apogee ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Apollo Global ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Aviv ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Bip CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Brightstar Law GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Business Compliance PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Calton & AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
CCO Technology LLC (d/b/a Joot)USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Cima Financial Regulations ConsultantsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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City National BankUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Clearlake Capital Group L PUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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CNL Financial Group Investment ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Compliance4USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Compliansense ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Drake ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Dumont ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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First SouthernUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Hazelview InvestmentsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Independence Capital PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Investcorp International IncorporatedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Je Compliance ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Kathryn Beller ProfessionalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Little Consulting GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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MJD Compliance ConsultantsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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MY Legacy AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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N/AUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Oca ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Oyster Holdings Inc Dba Oyster ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Patten TrainingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Patten Training & ReviewUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pegasus Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pillar Compliance GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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PractusUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Quantlab FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Robert BullUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Simon ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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SPP Capital PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Stacy SizemoreUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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ST Bernard Financial ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Tiedemann AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Tmorgan AdvisersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Toroso IvestmentsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Waystone Compliance Solutions (us)USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
WB Compliance ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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William Harris InvestorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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WindstreamUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Windstream PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 2 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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02 Cap AdvisoryUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
3650 AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
AbelhrUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
ABIDEUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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ACA Compliance Group HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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ACA ForesideUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Accord Capital PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Accordo Compliance SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ace & Company SaUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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AcrisureUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Actitrust Wealth ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Administracion Mfo SluUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Adviser Compliance ConsultantsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Adviser Compliance GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Adviser Solutions GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Advisor SystemsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
A&e Real Estate ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ainvest FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Alan Saul BernsteinUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
AlbertUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Alden Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
AllenderUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Ally Compliance Partners - Joseph StowellUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Altarock Business ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
American Global Wealth ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
American National Bank BoardUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
American Retirement Planning GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ameriflex Group SecuritiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
AmerilifeUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ameritas Investment CompanyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Andasol ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Andre McclureUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ann GriffithUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Apax Partners Worldwide Holdings LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Apogee ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Arcano Asesores Financieros S LUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ares Financial ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Arthur BusbyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
ArtnamUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ascendant Compliance Management LLC A Subsidiary Of Compliance Solutions Strategies HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ashleigh C SwayzeUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Asset Management Audit & ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Aviolo Compliance Solutions GmbhUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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BD And Advisor ConsultantsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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B/D OpsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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BedfordUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Bergman LawUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Biglari HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Bip WealthUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Blackrock Investment ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Bovill AmericasUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Bradley & Associates P CUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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BRB Finanz USAUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Brian Richard McauleyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Bright InvestmentsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Brookfield Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Bruce A Lefavi SecuritiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Bryan JacobsenUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Burton P StreetUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Cambridge Investment ResearchUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Camden Wealth AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Canaccord GenuityUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Carillon Tower AdvisersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Castanea PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Catch FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Cco3 Compliance ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Century ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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CF CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Cfo Financial PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Christopher PlummerUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Churchill FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Cinven LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Clark Capital Management GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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CLF Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Coastal Beach AccountingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Coeli Asset Management AbUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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CoinbaseUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Coleman CorneliusUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Colina StrategiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Colleen CorwellUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Commerce Street HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Compliance Solutions AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Compliance Solutions StrategiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Complidynamics ApcUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
CompliersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Compliers Consulting ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Concorde HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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ConnexienUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Coolabah Capital (uk) LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Corsair CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Cowboy VenturesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Crescent Securities GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Croke Fairchild Duarte & BeresUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Crow & CushingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
CX InstitutionalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Cynthia Aragon EsqUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Cyrus Capital Partners L PUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Daniel ParkUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Dan RobertsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Darwin Wealth ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Datatribe FoundryUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
David BilbyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
David FinnUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
David JonesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
David K EvansUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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David M PoarchUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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David ReidyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Deepwater Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Defiant Capital GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Delancey Investment Advisory Services LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Demarche AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Dennis R MasonUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
DFP Partners Regulatory ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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D H Hill Securities LllpUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Discretionary Management ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
DLK Investment ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Dma Consulting GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
DNM ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Dovetail Wealth ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
DWS Group Gmbh & Co KgaaUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Eab Investment GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Eagle Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Easterly Asset Management OperationsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Eby EnterprisesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Eide BaillyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Elizabeth MurrayUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Ellen D GinsbergUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Ellen M BrunoUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Emilio Salvador SoutulloUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Epoch Capital LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Equilibrium Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Eric GallerUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Etc Platform ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Evelyn Partners Services LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Fairview Investment ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Faithward ResourcesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Familywealth AdvisersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Fiduciary CounsellingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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FIGUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Financial Management StrategiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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FinancialmdUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Financial Planners AssistanceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Financial Resources Group Investment ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Finserv ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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First Asset FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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First Citizens Bank & TrustUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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First Heartland CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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First Tryon SecuritiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Fit ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Five Needles Estate Planning ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Florina K KlingbaumUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Forge GlobalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Forte CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Frank IngrahamUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Frederic Dorwart LawyersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Fti Consulting Inc (parent)USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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GDP Investment ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gemcorp Capital Management LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gene MurphyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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George Mason UniversityUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gery Sadzewicz ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gery Sadzewicz ConsultingllcUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gery SadzewuczUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gideon Paul Jeffrey FackrellUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gladstone AdministrationUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Global CounselUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Global Financial ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Global Infrastructure PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Global Securities Consulting GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Grandeur Peak Global AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Grandview Property PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Grayscale InvestmentsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Great Point CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Great Valley Advisor GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Greystar Management ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gries FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Griffith Compliance ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Group RMC ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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GS Compliance ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gsi Management USAUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Gunn & Company CPA PAUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Hamilton Cavanaugh & AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Hamilton LawUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Harborside Sales GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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HBK Sorce FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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HCR Wealth AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Heartland Compliance AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
HedgegrowUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Hegy Cfo ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Highgate Consulting GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Highline ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Highline Wealth PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Hodges Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Ibn Financial ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Iheanyichukwu KanuUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Illuminoss MedicalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Inspire InvestingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Institutional SecuritiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Integrity Compliance ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Integrity Marketing GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
International Compliance SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
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Interpublic Group Of CompaniesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
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Investment Advisor SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
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Investments Advise Compliance ConsultantsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
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Investor Cash ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
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Iron Road PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
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Not published
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Irving Place Capital Management L PUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
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Not published
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J2 SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Jackie JordanUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
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Not published
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James GasawayUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
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James McfaddenUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Jane MurphyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Jay H Park & AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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JefferiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Jennifer E Vogler EsqUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Joe DayUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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John LangUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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John MorrisUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Jonathan G WoznakUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Jonathan H SeedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Joseph ReigadasUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Joseph Stowell - Ally Compliance PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Justin B WhelanUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Justin MellonUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Kalos FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Kassouf &USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Keiichiro SomehaUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Kelson Capital GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Keshia Lee EstateUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Key Square GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Keystone Adviser ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Kingston PetersenUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Koch CapabilitiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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KROLLUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Kudisch Oster & CompanyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Kunzi Hess Macnab Attorneys-at-lawUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Kyle Arthur SynclairUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Law Offices Of Dana A Friedlander PAUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Legacy Advisors AgencyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Legacy Portfolio ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Leila ShaverUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Leonardo CastilloUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Leste USAUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Lex SokolskyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Lido AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Lilium GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Lime FintechUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Live Oak BancsharesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Lonestar Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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LS AdministrationUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Lscg ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mack ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Madison Global PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Magic LeapUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Main OfficeUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Main Street CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Major Lindsey & AfricaUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Malberian ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Marian StupkaUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mark Joseph De AngelisUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mart VosUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mar Vista Investment PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mas ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mass Mutual Financial GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Master Holdings USAUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Melia GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Meris ConsultancyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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M Financial HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mgo One SevenUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Michael DavidsonUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Michael HerlihyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Michael JonesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mid-american Wealth Advisory GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Milestone PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Millbank Dartmoor PortsmouthUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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MJ InsuranceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Modern Woodmen Of AmericaUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Momentum57USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Monroe Securities HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Moomoo FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Moonstone Compliance (pty)USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Morse Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Mount Lucas ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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M S Howells & CoUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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NALOUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Nancy Ann PrainoUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Nathan HawrotUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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NBT Bank N AUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Nicholas Investment Partners L PUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Nicole ConklinUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Nikhil JaisinghaniUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Northbound SecuritiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Northern Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Nour Private WealthUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Novus AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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NPM SecuritiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Octogone Advisors (cayman)USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Oddo BHF Asset Management SasUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Olden LaneUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Onedigital Investment AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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One Stone GlobalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Operational Compliance ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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OricalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pamplona Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Parsonex EnterprisesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pathstone Family Office L L CUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Paul FrickUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Pence Wealth ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pennhaven Brokerage PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pine Street Financial GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pinnacle AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pinnacle Holding CoUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Pionex PrimeUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Portsmouth Financial ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Power Sustainable ManagerUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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PQ SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Praesidium PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Precision StrategiqueUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Prescott Realty GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Princeton Advisory ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Proscape Landscape SupplyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Prosperity Financial GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Prosperity Wealth ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Quain Compliance ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Quinbrook Infrastructure Partners LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
QventusUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Radial Equity PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ranger Asset Management CompanyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Raymond James FinancialUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Raymond James Investment ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
RBC Capital MarketsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Record Currency Management LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Redmond Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Redwood Group LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Regal SecuritiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
RegmavenUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Reliant ComplainceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Renaissance Regulatory ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Renegade Capital GPUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Reymann Law GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
RFM Financial ConsultingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Rho Capital PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
RIA Compliance SpecialistsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Richard P Slaughter AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Rich Investment SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
RILEYUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Rinaldi Finkelstein & Franklin L L CUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
RJ Pile & CompanyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Rmi InternationalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Robert A CrowleyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Robert HuiskampUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Robert J MooreUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Robertson Stephens Capital MarketsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Rockefeller & CoUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Russell L Robinson SRUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Ryan P Smith Law PLCUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Safe Harbor FiduciaryUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Samco Capital MarketsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
San Blas SecuriitesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
SatschelUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Savoia NYCUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Savoie CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Scale AIUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Scgm S A & Southern Cross Investments L PUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sciens Institutional ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Scott M Rayburn PCUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Scott SonnierUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sean DonovanUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Securian Funds TrustUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Seneca Capital ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sentry InsuranceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Shahmanesh Law GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Shanghai Neumann Intelligence LimitedUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sheaff Brock Investment AdvisorsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Shuster Financial GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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SignixUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Silverdale Baptist ChurchUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sim EmpUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Simplicity Financial Marketing HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Simplicity Group HoldingsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sine Qua Non GlobalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Song P CUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sonia GoforthUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Southstate BankUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Spire ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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SP Servicios Globales -USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Stacie CraddockUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Stacy HowellUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Stansberry Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Steinberg Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Stephanie KelmUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Steven SchneiderUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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ST Louis Financial Planners Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Stockton Business ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Stonex GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Stride Consumer PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sunflower Bank N AUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Sutterfield Financial GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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SwisscomplyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Swisscomply AgUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Tague GoodhueUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Tcfg Wealth ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Ted LauricUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Telsey Advisory GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Tesser Ryan & RochmanUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Texas Partners BankUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The 4100 GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Alpha CooperativeUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Caprock GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Carlyle Group Employee Co L L CUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Chustz Law FirmUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Law Office Of Stephanie DarlingUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Leaders GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Marygold CompaniesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Monitor GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Vanguard GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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The Washington Trust Company Of WesterlyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Thoroughbred Financial ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Tidal InvestmentsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Titleist Asset ManagementUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Trader ComplianceUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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TRG Advisors Inc (crd #43870)USA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Tricor Pacific CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Trilantic Capital Management L PUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Ubs Business Solutions USUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Ubs Financial ServicesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Udon LabsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Ulf SkreppenUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Uniplan Investment CounselUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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United Services Automobile AssociationUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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United States NavyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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University Cooperative SchoolUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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U S News & World Report L PUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Valmark Financial GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Vantage Financial GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Verde Asset Management S AUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Verde Capital PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Vita Insurance AssociatesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Vivian Lima GiulianiUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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VizientUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Walleye CapitalUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Warrington GPUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
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Wealth Advisory GroupUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Western International SecuritiesUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Western & Southern Life Insurance CoUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Westwood Global InvestmentsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Whistlepig Compliance SolutionsUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
William R GearhartUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Willow Tree ConsultancyUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Wingate Management Limited VUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
WorryfreeUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
WorthpointeUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
Zhe LiUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →
ZRG Interim Solutions A Division Of ZRG PartnersUSA
What they do
Outsourced Chief Compliance Officer (RIA)
Who they help
Serves as outsourced chief compliance officer to 1 SEC-registered investment advisers, per 2023 to 2024 Form ADV filings. Services and pricing appear once the firm confirms its listing.
Standards
SEC 206(4)-7Reg S-P
Pricing
Not published
Claim this listing →

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