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

Compliance Readiness and Custody Rule Knowledge Share

April 21st

Please join O’Connor Davies, LLP and Focus 1 Associates LLC for a presentation and discussion on Compliance Readiness and the SEC Custody Rule.

Compliance Readiness:  What is the SEC looking for?

During this interactive presentation, we will provide an overview of the SEC’s National Examination Program and 2015 exam priorities:

  • A look at this year’s exam priorities;
  • Tips on how to best prepare for an exam;
  • The Presence Exam, including an overview for the private fund adviser; and
  • The exit interview and thereafter.

The Custody Rule Revisited:

  • Definition of custody as it has changed over time;
  • Concerns expressed by the SEC over compliance with the Custody Rule;
  • Requirements;
  • Possible exemptions; and
  • Answers to frequently asked questions.


Michael Provini, CPA, Partner-in-Charge of Private Funds Attest at O’Connor Davies, LLP.

Timothy Simons, CPA, CFA, CIPM, CSCP, CFP, Senior Managing Member of Focus 1 Associates LLC and former SEC Branch Chief Examiner.

Offered Twice:
8:30 am – 10:30 am
4:30 pm – 6:30 pm

O’Connor Davies, LLP
665 Fifth Avenue, 7th Floor
(Entrance on 53rd between 5th and Madison)
New York, NY 10022

Seating is limited.  To register at either time for this complimentary presentation, please contact Eric Gelb, CPA at 914.341.7049 or

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Gifts & Entertainment Guidance Update

Gifts & Entertainment Guidance Update

In February, the SEC’s Division of Investment Management issued Guidance Update No. 2015-01, “Acceptance of Gifts or Entertainment by Fund Advisory Personnel.” Section 17(e)(1) of the Investment Company Act of 1940 (“IC Act”) states that: [i]t shall be unlawful for … Read More ›

Evolution of SEC Examination Priorities 2012-2015

Evolution of SEC Examination Priorities 2012-2015

On January 13, 2015 the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its Examination Priorities for 2015. Remember, the SEC works on a fiscal year, which started October 1, 2014, so the SEC has been conducting examinations now … Read More ›