SEC Compliance Administration

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Fairview helps RIAs maintain meaningful and fully documented compliance programs:

  • Ongoing service, including onsite regulatory exam support
  • Execute compliance programs proactively throughout the year
  • We do the work in-house and never outsource to third parties

About Fairview® Investment Services

Fairview Investment Services, LLC was founded in 2005 with the mission of providing outstanding compliance administration to advisory firms and investment management companies. Growing money management firms struggle with handling the compliance and operational challenges of an investment firm. As a service-focused company, working with more than 130 clients, we provide an on-going partnership and full-service support to Chief Compliance Officers in the day-to-day management of the adviser’s compliance program. Fairview Investment Services seeks to support firms wanting to stay focused on their primary objectives: managing money and maintaining their own client relationships.

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API integration is available through Schwab OpenView Gateway®, which is provided by Performance Technologies, Inc. (“PTI”). Single sign-on is provided by PTI. Daily data files and trading integration are available through Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. Not all third party providers listed on this site have integration agreements with Schwab. Schwab OpenView Gateway® and Schwab OpenView MarketSquare™ are services of PTI.

References to third parties on this site (whether such parties are vendors participating in a service of PTI or independent advisors using a service of a participating vendor) are not an endorsement or recommendation of, or an opinion (favorable or unfavorable), or advice about, or a referral to any product or service of any third party. Advisors are solely responsible for evaluating, selecting, and purchasing products and services offered by third party vendors. Unless indicated otherwise, third parties are independent and not affiliated with PTI or its affiliates.

Schwab Advisor Services includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC, and the technology products and services of PTI. PTI and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent of each other. PTI’s integration solutions integrate data about accounts custodied at CS&Co.

Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.