Advent LogoAdvent Software

Over the last 30 years of industry change, our core mission to help our clients focus on their unique strategies and deliver exceptional investor service has never wavered. With unparalleled precision and ahead-of-the-curve solutions, we’ve helped over 4,500 firms in over 60 countries— from established global institutions to small start-up practices—to grow their business and thrive. Advent technology helps firms minimize risk, work together seamlessly, and discover new opportunities in a constantly evolving world. Together with our clients, we are shaping the future of investment management. For more information on Advent products visit www.advent.com.


Cairn Investment Performance Consulting

Cairn Investment Performance Consulting provides the investment industry with expert guidance and resources related to their investment management and performance measurement practices.  Our comprehensive services can include Performance Measurement Services, Composite Management, Risk Analytics and Portfolio Characteristics, and GIPS® compliance support.  We also leverage our extensive experience to provide performance measurement training and review materials for the CIPM® certificate. www.cairnipc.com


Financial Investment News

Financial Investment News is the #1 provider of manager searches, news and information for the business development, marketing and client service professionals at institutional asset management firms. Financial Investment News offers fin|searches, the most powerful manager search database and directory available for the institutional asset management space; fin|daily, a daily e-mail product that covers the US defined benefit space; Nonprofit News, a weekly e-mail covering the foundation and endowment space; and Emerging Manager Monthly, a monthly e-newsletter that provides news and analysis for small, boutique and women- and minority-owned asset management firms.


Guardian-Performance-Solutions-LLCGuardian Performance Solutions LLC

Guardian Performance Solutions LLC (GPS) is a specialty compliance consulting firm dedicated to assisting investment advisers with performance advertising. Areas of focus and expertise include reviewing performance advertisements for adherence with regulatory requirements and working with investment management firms to achieve and maintain compliance with the Global Investment Performance Standards (GIPS®).  Because GPS does not provide verification services, GPS is free from independence concerns and can take a hands-on approach to developing and managing an adviser’s GIPS compliance program. Additional information can be found at www.GuardianPerformanceSolutions.com.


Hardin-FinalLogo(updated)---WhiteHardin Compliance Consulting LLC

Hardin Compliance Consulting offers expert regulatory compliance services and solutions to investment advisers, broker-dealers, private funds and investment companies.  Over expert consulting team consists of former in-house securities attorneys, senior compliance managers, compliance professionals and senior audit professional from several prominent financial institutions.  We have the relevant experience to help our clients build and maintain quality personalized compliance programs based on strong processes and a culture of compliance. We distinguish ourselves from other compliance firms by providing hands-on, personalized regulatory compliance solutions. www.hardincompliance.com


NSCP-LogoNSCP

NSCP is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the securities industry. NSCP is for compliance, by compliance – it is our mission is to provide professional resources to financial services professionals through our unequaled network of peers, professional education, regulatory interaction and professional standards.  NSCP is THE source for compliance information, education, certification, networking and advocacy.  Our diverse membership includes almost 2000 compliance professionals at investment advisers, broker-dealers, insurance companies, investment companies, hedge funds, and banks, as well as the law, consulting and accounting firms who serve them. www.nscp.org


ocdO’Connor Davies LLP

O’Connor Davies is a full service CPA and consulting firm, providing accounting, auditing, tax, and management advisory services to domestic and international clients.  We provide complete fund administration, tax, attestation (e.g., audit and SOC reports), regulatory and corporate compliance (e.g., Dodd-Frank), performance and risk reporting, valuation (ASC 820), due diligence, and operational investment consulting services. O’Connor Davies is a member of the PKF International network, is PCAOB-registered and its affiliate is Cayman Island Monetary Authority (CIMA) registered. Our clients include private equity, hedge, and venture capital funds, private foundations and endowments, family offices, pensions, and brokerage firms. Learn More


Solomon-Exam-Prep-LogoSolomon Exam Prep

Solomon Exam Prep has helped thousands of financial professionals pass their FINRA, NASAA and MSRB Series 6, 7, 63, 65, 66, 24, 26, 27, 28, 50, 51, 52, 53, 62, 79, 82 and 99 licensing exams. Solomon’s study materials consist of exam study guides, online exam simulators, audiobooks, online video lectures, online study courses, individual tutoring, “Ask the Professor” individual question responses, workbooks and mobile apps, and are designed to address the learning needs of all kinds of test takers. Save 5% now on our study packages through the Focus 1 partner page: http://solomonexamprep.com/partner/focusone.


Schwab LogoSchwab / Compliance Solutions

Taking ownership of compliance means staying ahead of the regulatory landscape, seeing the big picture, and maintaining control. But it doesn’t mean doing it on your own.

Compliance Solutions’ employee-monitoring offer includes Schwab Designated Brokerage Services, Schwab Compliance Technologies®, and a wide range of financial products and services for employees. These solutions can help you proactively manage compliance, promote a positive employee experience, build long-term value across your business, and instill trust with clients.


TCP NewTessera Capital Partners, LLC

Tessera Capital Partners, LLC (Tessera), is an independent third-party sales and marketing firm that offers its services to a select group of traditional and alternative investment management organizations.  The firm partners with investment managers to provide tailor-made solutions that will satisfy each one’s individual need.  Tessera provides managers with a full array of sales and marketing services.   It is our goal is to partner with individual managers and become a seamless extension of the firm’s capabilities. www.tesseracapital.com


3PM(unstacked)Third Party Marketers Association (3PM )

Third Party Marketers Association (3PM) is an association of independent, outsourced sales and marketing firms that support the investment management industry worldwide.  3PM Members are properly registered and licensed organizations consisting of experienced sales and marketing professionals who come together to establish and encourage best practices, share knowledge and resources, enhance professional standards, build industry awareness and generally support the growth and development of professional outsourced investment management marketing. www.3pm.org


Touchpoint Solutions

Touchpoint Solutions helps companies automate business processes and move towards “management by exception”. Management by exception allows our clients to find customers or internal processes that fall outside a standard flow and focus time and effort on them rather than spreading time and effort on those that fall within standard flow. Our platform of choice is Salesforce.com which allows financial organizations to improve client relationships, manage compliance and track client portfolios. www.touchpointcrm.com


Compliance Consultants’ Roundtable (CCR)

The Compliance Consultants Roundtable (CCR) is a networking group, where compliance consultants and attorneys who are affiliated with consulting firms can connect with their peers.  Our mission is to further the knowledge of our members in the areas of regulatory compliance, solutions awareness, and compliance consultant best practices, while also providing an open peer-to-peer forum for industry collaboration and networking.  To this end, we host periodic conference calls and vendor awareness webinars centered on a specific firm or topic.  We also meet annually at a networking reception at the NSCP’s National Meeting.  Request to join the CCR LinkedIn Group


Other useful industry links:

CFA Institute – https://www.cfainstitute.org

U.S. Securities and Exchange Commission (SEC) – http://www.sec.gov/

Global Investment Performance Standards (GIPS®) – http://www.gipsstandards.org/