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Our compliance services can be tailored to meet your firm’s specific compliance needs and help fulfill your regulatory obligations. We cater to firms of all sizes, from new registrants to large institutional advisers.
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ComplianceAdvisor WM Registered Investment Adviser Compliance for Private Fund Advisers, Family Offices and Wealth Managers
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Protect your business with ComplianceAdvisor.
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Your Registration and Compliance Questions Answered
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For over a decade, the investment adviser industry has seen growth in the number of newly registered investment advisers. And individuals and businesses have increasingly turned to investment advisers for advice and management of their assets.
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Whether markets are turbulent or steady, there is no question that the need for professional investment advice is constant. If you’re in the business of providing investment advice and you’re considering establishing your own registered investment adviser (RIA), you may have questions. We’ve answered the registration and compliance questions most commonly asked by those who are looking to go independent here.
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As a compliance officer overseeing your firm’s comprehensive compliance program, you are likely acutely aware of the key compliance risks that pose challenges to your organization. The SEC expects advisers to implement robust compliance programs that mitigate these risks. With the steady stream of SEC enforcement actions filling your inbox, you might find yourself assessing whether the deficiencies highlighted in those cases could also reflect vulnerabilities within your own firm. If you catch yourself thinking, “that’s not us” or dismissing certain areas as low risk, it may be time to take a closer look beneath the surface of your compliance practices. Regulatory risks could be lurking where you least expect them, potentially jeopardizing your firm’s integrity and reputation.
Product Description
About this Product
Our investment advisor compliance services, ComplianceAdvisor, are designed to support state or SEC-registered investment advisors in fulfilling their regulatory obligations with ease and confidence. While every firm is required to meet specific regulatory standards, we understand that each firm has its own unique compliance needs. That’s why we offer customizable solutions, allowing us to tailor our services to match your firm’s specific requirements.
- Form ADV & Form PF: We assist with the preparation and filing of Form ADV, which includes the required disclosures about your business, practices, and conflicts of interest. Additionally, we provide support for Form PF filings to help private fund advisers meet reporting requirements to the SEC.
- Exams and Compliance Reviews: Our expert team conducts thorough compliance reviews and mock SEC exams to help you assess the effectiveness of your internal controls and practices, identifying potential risks and areas for improvement before an actual regulatory examination.
- Outsourced Compliance Functions: For firms needing more extensive support, we offer outsourced compliance services, including the option to fully manage your compliance functions or take on specific roles such as the Chief Compliance Officer (CCO).
About ComplianceAdvisor
STP Investment Services (“STP”) is an award-winning, technology-enabled services company specializing in middle, back-office, and compliance solutions for institutional managers, wealth managers, emerging managers, and private fund advisers. Since our founding in 2008 with a single client, five employees, and $2 billion in assets under administration, we’ve experienced remarkable growth. As of 2025, we proudly employ over 230 professionals globally and manage more than $500 billion in assets. Headquartered in West Chester, PA, with an offshore office in Bangalore, India, we are dedicated to delivering exceptional value and service to clients worldwide.
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Serving RIAs Since
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0719-93C0
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