SEC Compliance Consultants - Focus 1 Associates


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SEC Compliance Consultants & Services We Offer

From complete mock examinations to creating individual service plans, we have you covered.


Compliance program development and oversight, forensic testing, educational resources, on-site visit(s), and unlimited consulting.


Review of documentation, interviews with key personnel, on-site examination, overview of findings, and six months unlimited consulting.


Filing of ADV Part 1, review of new adviser exam request letter, and development of ADV Part 2, Code of Ethics and Policies and Procedures.


Monthly webinar trainings on rules, regulations, and industry best practices related to SEC, state, and/or GIPS compliance.


Focus 1 Associates LLC is a premier provider of regulatory SEC compliance, RIA compliance services and more. We specialize in assisting registered investment advisers, private funds, and hedge funds with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
RIA, SEC Compliance - Focus 1
Our services are designed to be practical solutions that are tailored to meet your specific needs.  We offer expert compliance services that are built on a quality control process that affords complete confidence in your compliance program (for SEC compliance or otherwise), whether you are looking for consulting and guidance on industry best practices, interpretation of the rules and regulations, industry training, or a hands-on practitioner to help you develop, monitor, and/or test your compliance program. One of the things that sets us apart is that we don’t charge by the hour. Most of our services include unlimited consulting and tangible tools, such as templates and sample documents to help your firm get a jump start on meeting RIA compliance rules and regulations. Our team of experienced professionals is committed to delivering practical, solutions-oriented assistance, such as providing a framework and associated workflow that we help the chief compliance officer put in place to support the firm’s SEC, RIA compliance program or related efforts.


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Next Event

Webinar: Using Technology to Streamline Your Code of Ethics

January 20, 2015

A FOCUS webinar in conjunction with Schwab Compliance Technologies, Inc.

In this valuable webinar, we will:

Dissect the Code of Ethics Rule

  • What it is and to whom it applies
  • Reporting requirements for personal trading
  • Exceptions and Common violations

Discuss using technology to:

  • Streamline compliance through feeding firm trades
  • Retain and retrieve required reports
  • Set parameters to avoid violations

Learn More ›


RIA Compliance “To Do” list for 2016

RIA Compliance “To Do” list for 2016

SEC Regulatory Deadlines for Investment Advisers   Jaqueline M. Hummel, IACCP®, AIFA® Managing Director, Hardin Compliance Consulting Updated February 2016   With the help of Sam Pangas, my compliance colleague at Hardin Compliance Consulting, we have compiled a list of SEC … Read More ›

Sec Exam Priorities 2016

Sec Exam Priorities 2016

OCIE’s priorities are organized around the same three thematic areas as last year: Examining matters of importance to retail investors, including investors saving for retirement; Assessing issues related to market-wide risks; and Using its evolving ability to analyze data to … Read More ›