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.


Meet Our Team ›

Next Event

Webinar: CCO Speaks about Recent SEC Exam

Thursday, June 9, 2016

12pm Eastern / 9am Pacific

Save the date for the first webinar of our new series, “CCO Speaks.”

In this new series, we will conduct live, 1-hour interviews with Chief Compliance Officers about real-world compliance issues and experiences, and you will have the opportunity to ask questions.

Our first interview is with CCO Steven Weiss at Roosevelt Investment Group, which has recently undergone an SEC examination. Find out what Steven wishes he knew before the exam, what went well, and what he would have done differently.

Join us as we discuss the examination experience:

  • Sequence and timeline
  • Document requests…and requests, and requests
  • Management and staff interviews
  • Key takeaways from the exam
  • What the SEC didn’t ask
  • Their strategy for dealing with staff findings

Learn More ›


Webinar:  CCO Speaks about Recent SEC Exam

Webinar: CCO Speaks about Recent SEC Exam

  CCO Speaks Insights from a Recent SEC Examination   Thursday, June 9 12pm Eastern / 9am Pacific 1-Hour Webinar Space is limited. Reserve your spot today! Save the date for the first webinar of our new series, “CCO Speaks.” … Read More ›

Webinar: DOL Fiduciary Rule Impact On Investment Advisers

Webinar: DOL Fiduciary Rule Impact On Investment Advisers

  DOL Fiduciary Rule Impact On Investment Advisers   Wednesday, May 4 12pm Eastern / 9am Pacific   Focus 1 Associates and Hardin Compliance Consulting present a COMPLIMENTARY webinar covering what investment advisers need to know about DOL’s new “Conflict … Read More ›