We are privileged to work with investment advisors located across the United States, including some that are domiciled internationally.  As an SEC registered investment adviser, our client’s tend to manage institutional and high net worth investors and/or private or registered funds, or serve as a family office.  The size, shape and structure of our clients vary, as does the scope of our involvement in their annual review process.  However, our relationship is consistently centered on serving as an available resource with an experienced and independent perspective.

Focus1ClientLocations

 

Testimonials


SKBA Capital Management, LLC

“SKBA has utilized the Compliance Resource services from Focus 1 for 10 years, and we have found great value in their knowledge of evolving SEC and state regulations, in their professional advice and counsel, and in their responsiveness to our ongoing compliance monitoring needs. It’s a wonderful partnership that substantially reduces the burden on SKBA in maintaining our necessary and critical compliance programs.”

 

Westwood Holdings Group, Inc.

We have used Focus 1 as our SEC Compliance Consultant for over four years now and we have been extremely pleased with their compliance assistance on policies and procedures, hot topics, risk assessment, business continuity planning and many other items. Toby and his team have really helped enhance our RIA compliance procedures!

Sylvia Fry
Senior Vice President – Chief Compliance Officer