SEC Compliance Consultants - Focus 1 Associates


Access Our Compliance Library ›

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 is a premier provider of SEC compliance services and more. We specialize in assisting registered investment advisers and private 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 RIA compliance services that are built on a quality control process that affords complete confidence in your 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.

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 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 compliance program.


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 ›


SEC Exams are Escalating

SEC Exams are Escalating

  Although only small percentages (around 10%) of firms are actually examined each year, the SEC has found ways to cover more ground with the resources they have.  From a recent industry report, “SEC exams are on the rise with … Read More ›

Simons Says: Changing Custody Guidance?

Simons Says: Changing Custody Guidance?

Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC September 26, 2016   I want to briefly discuss a topic about which questions have arisen in the last couple of months that we thought had been … Read More ›