Compliance
Search the network of Compliance Solution providers for the financial services industry. 
Advanced Regulatory Compliance, Inc.
Beverly Hills, CA 90210
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.
Advisor Products Inc.
1025 Old Country Road, Suite 223
Westbury, NY 11590
Phone: (888) 274-5755
Website: www.advisorproducts.com
Advisor Products is a leading financial services client communications and marketing company, serving more than 1,800 independent financial advisors. If you want a great website, client newsletter, or brochure, you’ll love us. We can write your marketing copy, design your logo, print your stationery and give you advice and ideas. You’ll find our technology and personal service superb because we don’t settle for less.
AdvisorVault
842 Broadview Ave.
Toronto, Ontario M4K 2R1
Phone: (866) 925-1941
Email: info@advisorvault.org
Website: www.advisorvault.org
AdvisorVault is the only remote backup provider specifically designed to help small broker-dealer firms achieve today’s stringent data compliance requirements. With our designated third party status (D3P) we help small broker-dealer firms achieve all the required data compliance rules defined in 17a-3, 17a-4, 3510 and 3010. Our fully managed solution includes all the hardware and software and instantly plugs into the office network to remotely protect emails and all documents relating to Books and Records. Remote, home and travelling employees are instantly added to the solution at no addition cost. The turn-key product is priced to fit the budget of small firms and provides remote backup, long-term archiving and disaster recovery in accordance with all current SEC and FINRA rules. Experience total data compliance – Out of the Box with AdvisorVault.
BackOffice Alliance LLC
227 Deerwood Bend
Charlottesville, VA 22911
Phone: (877) 306-9262
Email: sales@backofficealliance.com
Website: www.backofficealliance.com
Contact: Susan L. Silva, Managing Director and Business Development
BackOffice Alliance LLC is an innovative regulatory consulting firm specializing in SEC and FINRA compliance requirements for investment advisers, broker-dealers, investment companies, and hedge funds. We provide a cost effective “needs-based” compliance and operations solution through our unique automated process to enable you to utilize your capital and resources where it is needed – “growing your business”. Whether you are a start-up or a seasoned veteran who understands that compliance risks can jeopardize your entire firm, our experienced compliance staff is able and ready to protect you. Collectively we represent over 100 years of regulatory, operational and technical experience.
Cipperman Compliance Services
Outsourced Chief Compliance Officer Services
500 East Swedesford Rd., Suite 104
Wayne, PA 19087
Phone: 610-687-5344
Email: nfilippo@cippermancs.com
Website: www.cippermancs.com
Cipperman Compliance Services provides outsourced Chief Compliance Officer services to registered investment managers and registered funds. We can either fully outsource your compliance function by designating one of our professionals as your CCO, or we can provide supplemental resources to your in-house CCO. Our team has significant experience and expertise in creating, implementing and maintaining rigorous compliance programs. Our clients range from emerging managers to well established investment firms, and are geographically dispersed across the US. We are not merely compliance consultants. Rather, we create a customized program for every client and do the heavy lifting to manage your compliance program, so you can focus on portfolio management, client service and prospecting for new business. Please contact us to find out how we can help you manage your compliance program.
Comprehensive Securities Compliance Solutions, Inc.
142 Eastview Drive
Post Office Box #5300
Emerald Isle, NC 28594-1905
Phone: (877)614-6075
Email: info@cs2compliance.com
Website: www.cs2compliance.com
CS2 supports enterprises of all scale engaged in investment advisory, FINRA/NFA broker-dealer, hedge fund and other alternative assets, family wealth office, and insurance activities. Our firm is comprised of a seasoned team of former in-house professionals that have actual experience serving on registered investment advisers and broker/dealers staffs in roles that include chief compliance officer, AML officer, and regional and OSJ compliance principals. Our backgrounds also include operations management, FinOp support, due diligence, legislative and regulatory affairs, licensing and registration support. CS2 provides compliance expertise without the associated costs of employing full-time staff. From start-up to continuous support, our clients are located throughout the US where we provide them support on site or remotely via secure technology — at a reasonable cost due to our low overhead. Guidance and support to your firm drawn from the practical, day-to-day knowledge and experience of ours.
Erado Message Control Solutions
321 Burnett Ave.S. Suite 100
Renton, WA. 98057
Phone: (866) 673-7236
Email: sales@erado.com
Website: www.erado.com
Erado is a leading provider of secure, hosted email archiving, message security, disaster recovery, encryption, and compliance solutions. Founded in 1994, the companies solutions are trusted by banks, broker/dealers, financial advisors, utilities, healthcare, and manufacturing firms worldwide Since its inception Erado has had a perfect regulatory audit track record. Erado’s email archiving services are used by non-regulated companies as a proactive solution for e-discovery.
Erado’s SecureMail hosted email encryption services provide a software and hardware free solution to complying with state and federal email privacy laws. Erado’s email campaign management service provides an easy to use, web enabled, feature rich email marketing application that works with any email provider, archiving, and compliance solution on the market today.
Erado’s email campaign manger allows you to create and manage newsletters, press releases, recommendations, and more.Building and managing one list or multiple lists is quick and easy. Customized newsletters can be created with your software or with our easy to use online html editor.
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.
FrontLine Compliance, LLC
107 Royal Street, SW, Suite C
Leesburg, Virginia 20175
Phone: (888) 518-8070
Website: www.frontlinecompliance.com
Contact: Chip Arvantides, Executive Vice President
FrontLine Compliance provides customized compliance services to the investment industry. We specialize in regulatory compliance consulting for investment advisers, broker-dealers, hedge funds, private equity firms, investment companies and insurance company affiliates. Our services are primarily offered to middle market institutional buy-side and sell-side firms in equities, fixed-income and alternatives. We partner with our clients to create value-added services and provide solutions designed to fit your business needs.
IPS AdvisorPro®
9130 S, Dadeland Blvd., Suite 1625
Miami, Florida 33156
Phone: (330) 724-7145
Email: sales@IPSAdvisorPro.com
Website: www.IPSAdvisorPro.com
IPS AdvisorPro® is an award-winning online technology platform designed to help advisors create fully customized Investment Policy Statements (IPS). IPS templates addressing eight specific client types, and corresponding questionnaires for gathering pertinent client information for IPS preparation, are included. The tool provides flexible options which allow users to craft the content and flow of the templates to describe their unique processes and procedures, and further tailor every client IPS they create. Compliance officers and administrators are offered the ability to restrict the editing and removal of any IPS content by other users, helping to ensure consistent deliverables among firms, and from client to client. And, users can efficiently edit their investment policy, and with one click, broadcast those changes to all previously created IPSs in preparation for impending client meetings.Developed by practicing financial advisors Norm Boone, CFP® and Linda Lubitz Boone, CFP®, authors of Creating an Investment Policy Statement: Guidelines and Templates (FPA Press, 2004), IPS AdvisorPro® is helping over 1500 users to systematize and standardize their investment process. Current integrations include MoneyGuidePro™ Financial Planning Software and Redtail Technology (CRM).
MarketCounsel
61 West Palisade Avenue
Englewood, NJ 07631
Phone: (201) 705-1200
Email: pnc@marketcounsel.com
Website: www.marketcounsel.com
Contact: Frank Pizzichillo, Director of Business Development
MarketCounsel is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial investment advisors. Its comprehensive service offering delivers sound, yet business-savvy, regulatory compliance solutions. The firm pairs best-of-class compliance professionals with state-of-the-art technology to meet, anticipate, and exceed the exacting needs of its clients. From the startup of an investment advisor through its RIA Incubator program to the outsourced compliance department capabilities of the RIA Institute, MarketCounsel’s service platform consistently delivers on the promise of extraordinary service and trusted counsel.
MailBanc
61 West Palisade Avenue
Englewood, NJ 07631
Phone: (201) 705-1200
Email: sales@mailbanc.com
Website: www.mailbanc.com
Contact: Marc Cohen, Executive Vice President, Service
MailBanc provides a robust, yet easy to manage, suite of enterprise-class messaging solutions designed and scaled specifically for small financial institutions. Our suite of hosted, secure technology tools filter, capture, retain and monitor electronic messages to comply with your firm’s regulatory obligations. MailBanc’s Message Defense service stops viruses and SPAM before they reach your corporate network, allowing only safe and legitimate messages through. Message Archiving captures and retains messages to comply with the firm’s regulatory obligations. MailBanc offers unlimited storage on servers housed in a world-class, secure data center. To satisfy supervisory concerns, the Message Surveillance tool implements the policies applicable to a firm and allows for the monitoring of employee usage and the enforcement of e-mail compliance policies. As a division of MarketCounsel, the nation’s leading business and regulatory compliance consulting firm, MailBanc has had the luxury of utilizing MarketCounsel’s expertise in regulatory compliance to ensure that all MailBanc solutions remain compliant with SEC and FINRA regulations.
metaLogic
5025 Orbitor Drive Building 3, Suite 300
Mississauga, Ontario L4W 4Y5
Phone: (905) 629-7775
Email: sales@metalogic-inc.com
Website: www.metalogic-inc.com
metaLogic, established in 1997, is focused on collaboration, content management, and compliance solutions that leverage IBM middleware and open source products. Our email management and compliance products extend Lotus Notes to provide end-user archiving, compliance archiving, real-time email policy enforcement, discovery, and email content rationalization. Enforcer, our flagship archiving solution, is built for Lotus Notes but integrates open source components (Postgres, Jetty, Lucene, and SOLR). We also have a java-based forms integration product (Formlet Factory) that makes it easy to connect electronic forms to existing back-end databases. Our professional services team has expertise with the Lotus Notes Domino family of products, Lotus Forms, Websphere Portal, Liferay Portal, Tomcat, Jetty, Postgres, MySQL, Lucene, and many open source solutions. The team has extensive experience managing and delivering large-scale, complex development and migration projects. In 2001, metaLogic was named a Mississauga Business of the Year. Mississauga, the sixth largest city in Canada, is located just outside Toronto.
ProTracker Advantage
ProTracker Software, Inc.
6 Merrill Drive
Hampton, NH 03842
Phone: (603) 926-8085
Email: sales@protracker.com
Website: www.protracker.com
Our flagship product is ProTracker Advantage (PTA), a Client-Centric Contact Management System specifically designed for financial advisors. Setting the standard for comprehensive client relationship management software, ProTracker Advantage manages clients, prospects, contacts and employees for busy professional offices. The system organizes client data by tracking client goals and objectives, assets and liabilities, net worth, estate planning issues, insurance policies, and retirement contributions. It also manages and coordinates office workflow, facilitates regulatory compliance issues and minimizes the administrative time spent on mailing labels, newsletters, holiday cards and many other tasks. ProTracker Advantage exports data to personal digital assistants and imports portfolio values and money balances from most portfolio management programs. The RMD Wizards assists in calculating Required Minimum Distributions.
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.
Safety Net for Advisors
1301 Shoreway Road, Suite 175
Belmont, CA 94002
Phone: (650) 566-8800
Email: mprice@safetynetforadvisors.com
Website: www.safetynetforadvisors.com
Safety Net for Advisors™ is a technology solution which addresses compliant data backup, storage, and rapid data recovery. The system is meant to aid data compliance efforts and includes encrypted data storage both in-office and offsite, complete E-mail retention and search capabilities, as well as an invaluable disaster recovery solution. Complete server and E-mail backup are included in the same program and with no additional fees. SafetyNet™ significantly minimizes downtime following a disaster or other technology interruption. If your business server breaks or is unavailable for any reason, the SafetyNet appliance in your office may actually take its place on a temporary basis with all data intact, just like the spare tire on your car. If your entire office becomes unavailable due any major disaster, a replacement SafetyNet system, complete with your server’s most recent data and software, can be overnight shipped from the data center to a location of your choice. The SafetyNet service comes complete with our acclaimed “Disaster Recovery Workbook,” which allows RIAs to create a written plan for business continuity simply by filling in template blanks. This workbook is written by CEO, Michael Price, and based on his near 30 years experience with disaster recovery planning.
Smarsh, Inc.
921 SW Washington Street. Suite 540
Portland, OR 97205
Phone: (866) 762-7741
Email: info@smarsh.com
Website: www.smarsh.com
Smarsh® is a leading managed service provider of innovative, secure, and reliable email-archiving solutions for message compliance and records retention, proactive litigation readiness and mail server data management. Founded in 2001, the company has built its trusted reputation by handling the sophisticated archiving needs of the financial services industry, and has produced a flawless regulatory audit track record to show for it. Smarsh’s email archiving software-as-a-service (SaaS) is also implemented as a proactive complement to e-discovery, offering an efficient and cost-effective alternative to the traditional reactive process, and as a robust email management tool. Smarsh offers a full-service suite of products and services. The proprietary automated email review agent, the Virtual Compliance Officer®, sets the standard for efficiency in email supervision. The VCO features a data leak prevention module that integrates with the email archive and prevents important corporate knowledge and communication from leaving (or entering) the organization.
Spam Soap, Inc.
3193 Redhill Ave
Costa Mesa, CA 92626
Phone: (866) 772-6688
Email: info@spamsoap.com
Website: www.spamsoap.com
With no hardware or software to install, Spam Soap Message Archiving provides an on-demand email archiving and surveillance solution for SEC and FINRA compliance. Minimize costs and risks, simplify archiving and surveillance, enforce corporate email policies, increase employee productivity and safeguard business integrity. Prevent non-compliant emails from being sent with outbound message interception. Earn recurring revenue as a Partner.
Sound Compliance Services
Peter Mafteiu, Founder
6910 Cascade Avenue
Gig Harbor, WA 98335
Phone: (253) 514-8898
Email: pmmafteiu@yahoo.com
Sound Compliance Services provides, primarily, an Independent Chief Compliance Officer Service, lead by our founder, Peter Mafteiu. With over 20+ years of experience as a Senior Regulatory Consultant, Special Review Person under SEC Orders, a Chief Compliance and Chief Operations Officer at a $1.4 billion money manager and a Chief Compliance Officer for a global team (5 countries) for Russell Investments, Peter has extensive and practical experience for money managers, broker dealers, hedge funds and mutual funds.
The Independent CCO service provides your firm with two options or solutions: A dedicated Chief Compliance Officer for a firm in transition, when you loose your current CCO; A back up (coach, mentor and independent evaluator) for your current compliance program – to help you and your team evaluate (independently) the adequacy of your compliance program. When Compliance Leadership matters, Sound Compliance Services provides you with in depth resources that provide Sound Advice – Sound Recommendations – Sound Solutions! Sound Compliance Services’ inventory includes: Registration; Documentations / Filings; Examinations; Compliance Programs; Polices, Procedures, Controls; Evaluation & Assessment; Operations Consulting; Problem Solving and Innovation; Customized Solutions.
Windham Compliance Consulting
15760 SW Windham Terrace
Tigard, OR 97224
Phone: (503) 867-9369
Email: dgrouell@windhamcompliance.com
Website: www.windhamcompliance.com
Windham Compliance Consulting provides compliance consulting services to investment advisers, broker-dealers and reps, mutual funds and hedge funds. We are able to deliver our expertise via a variety of scalable service offerings; from complete compliance management to simple projects.Windham Compliance Consulting understands exactly what you need. You need pragmatic solutions that meet both regulatory requirements and budgetary realities. Windham advice is always practical and tailored to your business…no “perfect world” scenarios or expectations. Finished documents are delivered via a secure, third-party portal. Contact us for an initial consultation.
