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

NSCP Regional Meeting | Chicago, IL

May 28th

Federal Reserve Bank

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A New Reporting Obligation for Investment Advisers and Hedge Funds

A New Reporting Obligation for Investment Advisers and Hedge Funds

By:  Jaqueline M. Hummel, Managing Director Hardin Compliance Consulting LLC May 12, 2015   At the end of April, many private fund managers considered many of their regulatory burdens met, including filing the annual amendment to Form ADV and Form … Read More ›

SEC Announces Compliance Outreach Program Seminars

SEC Announces Compliance Outreach Program Seminars

The Securities and Exchange Commission announced the schedule for regional Compliance Outreach Program seminars for Investment Adviser and Investment Company Senior Officers. The seminars are sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and … Read More ›