Compliance Consulting Services for State and SEC Registered Investment Advisors
Advisors should not have a fear of compliance. Compliance should not be a scary topic. Having an independent RIA can be extremely rewarding, and with trusted compliance expertise it should be as stress-free as possible.
Most compliance consulting firms focus on technology, but our focus is on personalized customer service. While we can incorporate technology into your program, our specialty is being there for you and explaining what the examiners expect.
Welcome
At Polaris Compliance Consulting, LLC, we specialize in providing comprehensive compliance solutions for Registered Investment Advisors ("RIAs"). Our team of experienced compliance professionals and former state and federal regulators offers personalized guidance and actionable strategies tailored to your firm's unique needs. From starting your own RIA, to ongoing support, we offer solutions that meet your needs and find ways to make compliance fit seamlessly into your business model, allowing you to focus on growing your business.
What We Offer
-
Customized Compliance Solutions
Whether you're launching a new firm or enhancing an established practice, we create bespoke compliance programs designed to meet your specific goals and requirements. -
Comprehensive Regulatory Support
Stay ahead of ever-changing regulations. We provide expertise on SEC and state compliance requirements, helping you mitigate risks and maintain the highest standards. -
Turn-Key Compliance Services
From developing policies and procedures to conducting audits and training, we handle the details, so you don’t have to. -
Personalized, Hands-On Approach
At Polaris, you’re never just a client. We build lasting relationships and work closely with you, delivering tailored solutions with a personal touch.
Our Services
Thinking of starting your own RIA? We're happy to explain the process so you know what to expect. It's a big decision and we are here to help you determine if it's the right fit for you, and we can handle your application and customize a compliance program tailored to your new firm.
Are you prepared for a State or SEC examination? Do you know the process and the items you should be maintaining? We provide detailed compliance mock audits from former examiners to make sure you're ready.
Would you feel more secure knowing you have someone knowledgeable to call on anytime the need arises? Would you like for an experienced compliance professional to handle day-to-day tasks such as Form ADV Filings?
About Us
"I started Polaris Compliance Consulting, LLC with smaller advisors in mind. The feedback from most advisors I spoke with in my initial market research was that they felt like they were being overcharged and ignored by larger compliance consulting firms. That was 13 years ago, and we've grown into providing compliance consulting services to all sizes of State-Registered and SEC Registered Investment Advisors around the country. I feel that compliance should be as simple as possible and not overly complicated. We work with the regulators on a daily basis and have a clear understanding of what they expect."
Owner/Founder
Why Choose Us
-
Privately Owned by a Former Regulator
-
We Specialize in RIAs Only
-
Former Regulators on Staff
-
Personalized Relationships with Clients
-
No Long-term Contracts - All On-going Support is Month-to-Month
-
None of Our Plans Have Time Limits on Assistance
-
Customized Compliance Programs
-
We Welcome Smaller Firms
-
Established in 2012
-
Competitive Pricing
-
Flat Fee Services - We Do Not Charge Hourly
-
We Can Provide Minimal to Comprehensive Support, Based on Your Needs
-
We do not outsource any work to sub-contractors and/or out of the country. All of the work is performed by our employees on our staff.