SEC Compliance Consultants - Focus 1 Associates


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RIA Compliance Services

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


Compliance program development and oversight, forensic testing, educational resources, on-site visit(s), and unlimited consulting.


Review of compliance books and records, interviews with key personnel, on-site examination, overview of findings, and six months unlimited compliance consulting.


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.


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.


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


Meet Our Team ›

Next Event

SS&C Advent Conference

September 12-14

Las Vegas, NV

Tim Simons, CFA, CIPM, CSCP, CFP® and Toby Cochran, IACCP® will both be attending.  We look forward to seeing you there!

More Compliance Events ›


The SEC’s Four-Year Goals

The SEC’s Four-Year Goals

On June 19, 2018, the SEC published a draft strategic plan for comment that outlined the Commission’s goals for the next four fiscal years, 2018 through 2022, and asked the public for comments on those goals. The core principles that … Read More ›

Focus 1 Associates Increases its Presence in Prominent Southern California Investment Adviser Market

Focus 1 Associates Increases its Presence in Prominent Southern California Investment Adviser Market

  Krista S. Zipfel  Director Focus 1 Associates LLC July 19, 2018                     The sale of Advisor Solutions Group’s key assets adds Krista Zipfel, CFA to Focus 1’s senior leadership team … Read More ›