SEC Compliance Consultants

Focus 1 Associates LLC is a provider of SEC compliance services.  Dedicated to assisting with registered investment advisor compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940, we specialize in the areas of:

  • Annual Compliance Reviews
  • Mock SEC Examinations
  • Third-Party Compliance Reviews
  • New Adviser Setup
  • RIA Compliance Training
  • SEC Compliance Consulting

Our services are tailored to meet your specific needs and are built on a quality control process that affords complete confidence in your SEC compliance program.

With unlimited consulting and tangible tools, our team of experienced professionals is committed to delivering practical, solutions-oriented assistance.

The tangible part of our service is the framework and associated workflow that we help the chief compliance officer put in place to support the firm’s compliance program.

With the ever-changing regulations and emerging industry best practices, Focus 1 understands the importance of providing timely and practical insight to help interpret and implement change within your compliance framework.

Whether you are looking for consulting and guidance on SEC industry best practices, interpretation of the rules and regulations, or a hands-on practitioner to help you develop and monitor your compliance program, we are your SEC compliance team.


Our History

Focus 1 originally evolved from Ashland Partners & Company, LLP, a CPA firm with a global presence and industry reputation as a leading provider of GIPS compliance and verification services.  In the fall of 2005, we established Ashland Compliance Group to assist registered investment advisors with their annual compliance review, in response to the Compliance Rule—Rule 206(4)-7 of the Investment Advisers Act.

We quickly earned a national reputation as a premier provider of high-quality core compliance resources in the areas of Compliance Program Development, Monitoring and Oversight; Mock SEC Examinations; Third-Party Compliance Reviews; and Compliance Training.

In 2010, we became independent and rebranded as Focus 1 to expand our services, yet focus our resources on assisting investment advisers with their specific SEC compliance consulting needs.  Focus 1 continues its tradition of excellent client service, absolute integrity, and an unwavering devotion to serving the best interests of our clients.