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SEC Compliance Consulting

Product Description

About this Product

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SEC Consulting, Mock Exams, Annual Reviews, Outsourced CCO Services:
  • Unlimited remote compliance consulting with on-site visits
  • Templates and sample documents to help meet SEC rules/regs 
  • Practical solutions-oriented assistance with annual review

About Focus 1 Associates LLC

Focus 1 specializes in assisting SEC registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds—with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940. Our services include unlimited consulting, templates and sample documents to help your firm get a jump start on meeting SEC compliance rules and regulations. Our team of experienced professionals (including three former CCO’s and an SEC Branch Chief Examiner) is committed to delivering practical, solutions-oriented assistance to help administer the firm’s annual compliance program. Whether you need consulting and guidance on industry best practices, interpretation of the rules and regulations, industry training, or a hands-on practitioner to help you develop, monitor, and/or test your compliance program, you can depend on us as your compliance team.

Product Details

More info about us

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Category

Compliance
Serving Since Icon

Serving RIAs Since

2005
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Discount for Schwab Clients?

Yes

0719-93C0

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.