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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IAA Investment Adviser Compliance Conference

March 15-16

Washington, DC

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RIA COMPLIANCE NEWS

Simons Says: Out With the Old…

Simons Says: Out With the Old…

Timothy M. Simons, CFA, CIPM, CSCP Member Focus 1 Associates LLC December 26, 2017   Out With the Old, In With the New: Happy Holidays to everyone. There are a few things that have piqued my interest these last few … Read More ›

SEC Update: Principles & Risk Alerts

SEC Update: Principles & Risk Alerts

Timothy M. Simons, CFA, CIPM, CSCP Member Focus 1 Associates LLC November 30, 2017   SEC Update: Two things I want to talk about, the November 15, 2017 Division of Enforcement Annual Report for FY 2017 (“Report”), and the speech … Read More ›