SEC Compliance Consultants - Focus 1 Associates

YOUR COMPLIANCE.
OUR FOCUS.

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RIA Compliance Services

From complete mock examinations to creating individual service plans, we have you covered.

ANNUAL COMPLIANCE REVIEW

Compliance program development and oversight, forensic testing, educational resources, on-site visit(s), and unlimited consulting.

MOCK SEC EXAMINATION

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

NEW RIA SETUP

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.

A LA CARTE

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

 

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SS&C Deliver

September 12-14

Chicago, IL

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RIA COMPLIANCE NEWS

DOL Fiduciary Rule Delay – Clearing the Confusion

DOL Fiduciary Rule Delay – Clearing the Confusion

The U.S. Department of Labor has announced a 60-day extension of the applicability dates (now effective June 9, 2017 rather than the original date of April 10, 2017) of the fiduciary rule and related exemptions, including the Best Interest Contract Exemption. The purpose of … Read More ›

Simons Says: Common Deficiencies.  Why?  Because People Don’t Get It!

Simons Says: Common Deficiencies. Why? Because People Don’t Get It!

Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC March 29, 2017   On February 7, 2017 the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert on The Five Most Frequent … Read More ›