Compliance Approved Services
Hands-On Compliance Help
From Experienced Professionals
Not every firm needs just software. Some need an experienced compliance professional who knows the regulations, handles the filings, and picks up the phone when the SEC calls. That's what we do.
Why Compliance Approved
A Compliance Partner, Not Just a Vendor
Practitioners, Not Just Software
Our team has hands-on CCO experience managing real compliance programs. We don't just build tools — we've used them under real regulatory scrutiny.
Software + Services Together
Your consulting retainer includes platform access. One vendor, one invoice, one relationship. No separate software subscription needed.
Built for Small & Mid-Size Firms
We work exclusively with RIAs and broker-dealers under 100 employees. We understand your budget constraints and regulatory reality.
Transparent, Flat-Rate Pricing
No billable hour surprises. Retainer packages are fixed monthly rates. You know exactly what you're paying before we start.
Monthly Retainers
Ongoing Compliance Support
Fixed monthly rates. Platform access included with every retainer. Cancel anytime after the initial 3-month commitment.
Compliance Assist
Up to 8 hrs/mo · Starter platform included
Solo advisors who want a compliance partner, not just software.
Get Started- Monthly compliance check-in calls
- Policy review & updates as regulations change
- Regulatory change alerts specific to your firm
- Starter platform access included
- Email & phone support
Fractional CCO
Up to 15 hrs/mo · Professional platform included
Firms that need a CCO but aren't ready for a full-time hire.
Book a Call- Serve as your designated Chief Compliance Officer
- Annual compliance program review
- SEC/state exam preparation & response
- Marketing material pre-approval
- Employee training oversight
- Professional platform access included
- Priority support with direct line
Full Compliance Program
Up to 25 hrs/mo · Enterprise platform included
Mid-size firms outsourcing their compliance function.
Contact Us- Everything in Fractional CCO, plus:
- Quarterly compliance program reviews
- Regulatory filing management (ADV, U4/U5)
- Communications review & oversight
- Custom policy & procedure development
- Board/management reporting
- Enterprise platform access included
- Additional hours available at $275/hr
Project-Based
One-Time Compliance Engagements
Need help with a specific project? We handle it start to finish with a fixed quote.
Annual Compliance Review
$3,000 – $8,000Comprehensive review of your compliance program with written findings and recommendations.
New Firm Compliance Setup
$5,000 – $15,000Complete compliance program from scratch — policies, procedures, code of ethics, ADV filing.
SEC/State Exam Preparation
$2,500 – $7,500Mock exam, document prep, interview coaching, and response strategy.
ADV Filing Assistance
$2,000 – $5,000Initial or annual ADV filing, brochure updates, and state notice filings.
Marketing Rule Compliance Audit
$1,500 – $4,000Full review of all marketing materials against SEC Marketing Rule (206(4)-1).
Cybersecurity Policy Development
$2,000 – $5,000Written information security policy, incident response plan, vendor oversight framework.
All project engagements include a written scope of work before we begin. No hourly billing surprises.
On-Demand
Hourly Consulting
For firms that need occasional guidance without a retainer commitment. Billed in 30-minute increments. No minimum.
How It Works
Free Consultation
30-minute call to understand your firm, your registration, and your compliance gaps.
Custom Proposal
We send a clear scope of work with fixed pricing. No surprises, no open-ended billing.
We Get to Work
You get a dedicated compliance professional and platform access from day one.
Let's Talk About Your Compliance Needs
Free 30-minute consultation. No sales pressure. We'll tell you honestly whether you need software, services, or both.