Compliance Solutions for Investment Advisers

About Us

Mission Statement

Our mission is to ease the regulatory burden of state and SEC registered investment advisers by simplifying the compliance process and providing them with the confidence and peace of mind that all their compliance obligations are being met.

Our Difference

U.S. Compliance Consultants is a full-service compliance consulting firm offering a wide range of registration and compliance services to state and SEC registered investment advisers. Quite simply, what makes our compliance services different is the incredible amount of personal attention we afford each of our clients. In fact, we limit the number of clients we will take on at any one time so that each investment adviser receives the high level of service they expect and deserve. Our philosophy is that the adviser with $10 million in assets under management requires the same high level of service and expertise as does the adviser managing $1 billion. At U.S. Compliance Consultants, we treat each and every client with the level of service they expect and the respect they deserve. We understand that in most investment advisory firms, the person in charge of compliance often has multiple responsibilities. With so many different demands competing for your time, every hour that can be eliminated from the compliance process is one more hour you can devote to serving the needs of your clients. At U.S. Compliance Consultants, we provide investment advisers with compliance programs that are simple to use and simple to maintain. As a result, our clients spend less time on compliance and have fewer compliance problems.

State Compliance Experts

U.S. Compliance Consultants has a well-deserved reputation among investment advisers and compliance professionals alike as the “go to” consulting firm for state compliance issues. We attribute our expertise to the company’s origins as an affiliated group of state-based compliance companies that were devoted primarily to the compliance issues of that particular state. The experience gained and relationships developed through our direct contact with state regulators affords U.S. Compliance Consultants both a unique insight into the special compliance concerns faced by state-registered investment advisers and a leg-up when it comes to navigating our clients’ through the maze of state rules and regulations.