Investment Adviser Consulting Services

Whether you’re registering as a new investment advisory firm, changing from state to federal registration, or looking to expand your business offerings, you need an expert compliance team on your side to ensure that all regulatory requirements and deadlines are met in a thorough and timely manner. At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”), we act as a strategic partner and extension of your firm’s compliance team. We take on the enormity of critical compliance regulations, offering expert guidance to break everything down into a manageable and effective process.

Our team offers comprehensive evaluations, enhancement of internal controls, implementation of technology, and practical compliance solutions. We have extensive experience in the securities industry, with a deep understanding of the complexities and intricacies of an advisory firm’s business. Whether you’re in need of comprehensive compliance solutions or individualized services, we work to meet the unique needs of your business – with solutions that support your firm’s overall compliance efficiency.