SEC Compliance Consultants - Focus 1 Associates


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RIA Compliance Services

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 compliance books and records, interviews with key personnel, on-site examination, overview of findings, and six months unlimited compliance 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.


Third-Party Compliance Reviews, Forensic Testing, RIA Compliance Training, Policy & Procedure Development, SEC Compliance Consulting, and more.

SEC Compliance Consultants

Focus 1 Associates LLC specializes in assisting registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds—with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
RIA, SEC Compliance - Focus 1
Our RIA compliance services are built on a quality control process that affords complete confidence in 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 SEC compliance rules and regulations. Our team of experienced SEC Compliance Consultants 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 compliance program.
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, you can depend on us as your compliance team.

Focus 1 is the first (and often only) place I turn to for help with our compliance needs. As a compliance officer who wears multiple hats, having a trusted partner like Focus 1 gives me the confidence I need to navigate the ever changing and increasingly challenging compliance landscape. Their practical and timely advice helps me to stay on top of the latest developments and best practices, and their flexible tools and solutions are tailored to meet our needs.

Scott M. Bilyeu
Chief Financial Officer, Chief Operating Officer, and Chief Compliance Officer
Triangle Peak Partners, LP


Meet Our Team ›

Next Event

Webinar - Chicago Clearing Corporation

October 13, 2016

12pm Eastern / 9am Pacific


Please join Focus 1 for a “Vendor Spotlight” webinar, as we showcase Chicago Clearing Corporation, a highly regarded provider of class action recovery services. In a 30-minute spotlight, Chicago Clearing will:

  • Provide an overview of their firm and the services/solutions they provide;
  • Highlight recent scenarios where they were able to not only recover assets for an adviser’s clients that may have not otherwise been recovered, but through this complementary offering were able to create efficiencies and help streamline the adviser’s back office operations; and
  • Answer any questions our attendees may have about securities class action recovery services.

Focus 1 will also be available to help respond to regulatory-oriented questions concerning an adviser’s obligations pertaining to class actions.

More Compliance Events ›


WARNING!! You THINK you don’t have Custody, but…

WARNING!! You THINK you don’t have Custody, but…

IM Guidance Update February 2017 Inadvertent Custody: Advisory Contract versus Custodial Contract Authority   The U.S. Securities and Exchange Commission’s Division of Investment Management recently released guidance to alert investment advisers that they “may inadvertently have custody of client funds … Read More ›

Custody No-Action Letter

Custody No-Action Letter

    In the No-action letter, the SEC clarifies that the Commission believes that a letter of instruction or other similar asset transfer authorization arrangement established by a client and submitted by an investment adviser to the qualified custodian would … Read More ›