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

2015 NSCP National Conference | National Harbor, MD

November 1st - 4th

Gaylord National Resort & Convention Center

Join us!  Focus 1 will be speaking and exhibiting.

Learn More ›


OCIE’s 2015 Cybersecurity Examination Initiative

OCIE’s 2015 Cybersecurity Examination Initiative

In April 2014, OCIE announced that it would conduct examinations to identify cybersecurity risks and assess cybersecurity in our industry. In February 2015, OCIE gave us the findings of these examinations, including some of the legal, regulatory, and compliance issues … Read More ›

Simons Says – Non-Reportable Accounts…Or Are They?

Simons Says – Non-Reportable Accounts…Or Are They?

Rule 204A-1, Investment Adviser Codes of Ethics (the “Rule”), with a compliance date of January 7, 2005, required reporting by access persons, of their securities holdings and transactions in any securities, with some exceptions such as: (i) Direct obligations of … Read More ›