Compliance Consulting Services
Expert compliance guidance from a working CCO. Hourly consulting for the project in front of you, plus partner referrals when you need a named CCO.
Hourly Consulting
Real CCO experience applied to the specific project in front of you. Typical engagements:
- Policy library buildout and customization
- Mock SEC or state exam preparation
- Marketing Rule (206(4)-1) material review
- Form ADV amendments and annual updating
- Reg S-P implementation (June 2026 deadline)
- Custom compliance training development
Fractional CCO
Partner Referrals
For firms that need a named Chief Compliance Officer on their Form ADV, we maintain relationships with independent fractional CCOs who specialize in small and mid-size RIAs. We'll make the introduction; you'll contract directly with the practitioner who's the right fit for your firm.
Request an IntroductionWhy Compliance Approved
Who You're Working With
Real CCO experience
Built and run by a working Chief Compliance Officer managing a $2B AUM program.
SEC & state exam experience
Practical guidance grounded in real examiner expectations, not theory.
Built for small & mid-size firms
We understand the constraints of firms that can't justify a $200K full-time hire.
Project Work
Project-Based Engagements
One-time compliance projects, invoiced on completion.
All project work billed at $275/hour. Ranges reflect typical scope; actual cost depends on firm complexity.
Ready to get started?
Book a consultation to discuss your compliance needs. No commitment required.