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Advanced Regulatory
Compliance, Inc.
415 N. Camden Drive, Ste. 121 Beverly Hills, CA 90210 Phone: (310) 275-7300 Email: pburns@advreg.com Website: www.advreg.com Advanced Regulatory Compliance, Inc. is a dynamic new organization formed to help investment advisory firms, broker-dealers and their representatives meet ever-changing compliance and regulatory obligations. Our practice is national in scope and able to meet the compliance and regulatory needs of clients nationwide. We offer personalized and tailored compliance/ regulatory advice to address each firms or representative's unique way of doing business. Our consultants have years of experience working with independently registered investment advisers, independent broker-dealers and their representatives. Top Adviser Compliance Associates 1224 M Street, NW, Suite 101 Washington, DC 20005 Phone: (202) 628-8300 Email: info@advisercompliance.com Website: www.advisercompliance.com Adviser Compliance Associates, LLC, a full-service compliance consulting firm, offers a diversity of general and specialized compliance services. Specializing in compliance matters involving investment advisers, hedge funds, and investment companies, ACA uses a team approach to respond to your needs in a timely and cost effective manner. You will have the opportunity to design a compliance structure that will be managed by a team of experienced compliance professionals. We realize the importance of the responsibility we have to our clients. It is our objective to sensitively and confidentially manage your compliance with the highest level of service standards. Top Financial Advisors Legal Association 7469 West Lake Mead Blvd., Suite 170 Las Vegas, Nevada 89128 Phone: (800) 261-0633 Email: rmills@falegal.com Website: www.falegal.com We are the leader in litigation prevention and defense for the individual financial professional. As potential targets of litigation, our members join because they understand the benefits that only safety in numbers can provide. We have successfully built this organization based on need, one member at time. As needs have expanded, so have our programs. By promoting dialogue between the members and the F.A. Legal attorneys, potential claims are being dismissed before becoming an emotional, legal and financial nightmare. To do this we have developed defense, educational and communication tools to effectively empower our members. Top MarketCounsel 61 West Palisade Avenue Englewood, NJ 07631 Phone: (201) 705-1200 Email: pnc@marketcounsel.com Website: www.marketcounsel.com Contact: Kari Hamburger, MSW, Director of Business Development MarketCounsel is a business, regulatory and compliance consulting firm dedicated to the success of entrepreneurial investment advisory firms nationwide. Their comprehensive service offering revolves around sound yet business-savvy regulatory compliance solutions for a focused niche of clientele. Best-of-class compliance professionals are paired with state-of-the-art technology to deliver such solutions to meet clients' needs. Not to be confused with an ordinary reactive services traditionally offered by law firms and consulting firms, MarketCounsel's unique program allows registered investment advisers to budget their compliance expenditures and confidently focus on business operations while availing themselves to MarketCounsel's proactive and business-savvy solutions to the regulatory challenges that face today's investment adviser. MarketCounsel achieves this unique result by deploying state-of-the-art technologies customized to complement its focused, energetic, and dedicated team of highly-skilled securities attorneys, compliance professionals and administrators. Top RIA Compliance Consultants 1905 Harney St., Ste. 530 Omaha, NE 68102 Phone: (877) 345-4034 Email: bhill@ria-compliance-consultants.com Website: www.ria-compliance-consultants.com RIA Compliance Consultants provides registration and renewal services, mock exams, document reviews, compliance program assessments, and more. RCC collaborates with investment advisors to identify regulatory and risk management challenges. We then work with them to build and implement practical solutions that protect their clients while meeting their regulatory responsibilities. |
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