YOUR COMPLIANCE.
OUR FOCUS.

RIA Compliance Services

From complete mock examinations to creating individual service plans, we have you covered.

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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.

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.

Welch Hornsby, Inc.

“Welch Hornsby, Inc. initially partnered with Focus 1 for a mock SEC examination. The engagement proved invaluable in strengthening the Firm’s compliance program. This initial experience led Welch Hornsby to continue its partnership with Toby and the Focus 1 compliance team. To date, Focus 1’s accessibility, expertise and proactive guidance have played a key role in further developing the Firm’s compliance program.

Perhaps most importantly, they have become a trusted compliance partner, helping us navigate the ever-changing regulatory environment.”

Ginger B. Glenn, IACCP®
Chief Compliance Officer

RIA COMPLIANCE NEWS

Follow Up: Proposed Standards of Conduct for BDs and IAs

First, an update on the proposed Standards of Conduct for Broker-Dealers and Investment Advisers. Several thousand comments were received by the announced end of the comment period, and the SEC’s website is reflecting comments received after the comment period closed. … Read More ›

Focus Perspective: National Exam Program Risk Alerts

On July 11, 2018, the SEC’s Office of Compliance and Examinations (“OCIE”) issued the third Risk Alert for the 2018 fiscal year, “Compliance Issues Related to Best Execution by Investment Advisers,” following “Overview of the Most Frequent Advisory Fee and … Read More ›

YOUR COMPLIANCE. OUR FOCUS.