Practical Compliance

We help simplify your RIA compliance efforts by providing practical, relevant advice – specific to your business – while ensuring that your firm meets all of the SEC compliance requirements.  In order to do so, we do a thorough analysis of your key compliance documents and take the time to gain a comprehensive understanding of your firm.

 

Scalable Services

Our SEC compliance services are structured to provide coverage and assistance in areas that may present the greatest risk. Whether you need a compliance resource or compliance manager, our services are tailored to meet your specific needs and are built on a quality control process that affords complete confidence in your RIA compliance program.

 

Unlimited Consulting

Whether it’s a weekly check-in or a quick call when you have a specific question, you don’t have to worry about what your firm will be charged.  Our flat fee billing structure promotes open dialog and regular communication.  Call us whenever the need arises!

 

Tangible Resources

You will receive sample policies and procedures, compliance program templates, and other resources to assist in your compliance efforts.  You don’t have to recreate the wheel.

 

Expansive Knowledge

Use us as your sounding board.  Our team of credentialed professionals has a strong background in the areas of SEC compliance, GIPS compliance and verification, attestation engagements, third-party compliance reviews, buy-side trading and operations, and leading SAS 70 (now known as an SSAE 16) policy and procedure audits.  The Focus 1 team is committed to continued industry training, individual and professional development, and networking with other industry professionals to be the best compliance resource for you.

 

Industry-Wide Perspective

Through the extensive background of our team and our diverse client base, we have a unique perspective on the industry.  You will be kept abreast of changes in SEC compliance rules, regulations, and industry best practices through our alerts, notifications, publications, and events.

 

Rapid Responses

Providing knowledgeable and practical insight in a timely and efficient manner is the core tenet of our firm. You will receive a response the same day, whenever possible.  If we can’t address your question within 24 hours, we get back to you to acknowledge receipt of your inquiry and give you a time frame for when you can expect a response.

 

Team Approach

You have a primary contact with a team that stands beside them.  Our team structure provides a breadth of knowledge and experience so that we provide you with the most current and accurate guidance.

 

Organization & Documentation

It’s our job to help you stay on track with your review and testing commitments.  Our involvement results in additional evidence and supporting documentation of required review and testing.

 

Testimonials


Morgan Dempsey Capital Management, LLC

“Focus 1 has served our firm for over two years as both a Compliance Manager/Resource and as a Third-Party Compliance Review provider. From their initial GAP analysis, development and implementation of our new Compliance Program, utilizing the Focus 1 template, through their 3rd Party review and evaluation of our Compliance Program, we have been consistently pleased with the organization, structure and execution of their services. Their knowledge base is extensive, and they proactively communicate current regulatory developments and news to our CCO, then methodically ensure that any new regulatory requirement or best business practice is implemented in our Compliance Program and Code of Ethics/Policies and Procedures manual. They are readily accessible to answer questions and always provide the specific regulation to back up their opinion and advice. Of great importance to us are the people and the culture at Focus 1; the Principals and staff at Focus 1 are all a delight to work with, they are incredibly knowledgeable, and uniformly service oriented in their commitment to provide us with high-quality compliance monitoring and oversight.”

David W. Durham
Principal

 

747 Capital LLC

“Liz and her team are professional, pragmatic, and responsive. They’re a pleasure to work with.”

Marc der Kinderen
Managing Partner

 

BRC Investment Management LLC

“BRC is very happy with our primary consultant. Linda is super knowledgeable, always available and very responsive to our questions and needs. She is incredibly organized and provides to us timely and relevant information to keep us abreast of the ever-changing rules and regulations.”

Nancy K. Lambert
Compliance Manager