Who We Are . . .

New York Compliance Consultants is a full-service consulting firm that specializes in registration and compliance services for small to mid-sized state and SEC registered investment advisers.  We provide investment advisers with cost-effective compliance solutions that are tailored to meet their unique needs. At New York Compliance Consultants, we understand that every hour that can be eliminated from the compliance process is one more hour you can devote to serving the needs of your clients and increasing the profits of your advisory business.

. . . How we can help

Do you need help .. .

• Understanding your compliance obligations?
• Navigating complex state or federal investment adviser regulations?
• Developing firm-appropriate compliance policies and procedures?
• Maintaining your firm's registration on the IARD system?

If the answer to any of these questions is yes, New York Compliance Consultants can provide your firm with expert guidance and practical solutions in straight-forward, plain English. Please see our Services for a list of the specific compliance services we can offer your advisory firm.

. . . Advice You Can Trust

At New York Compliance Consultants, we believe that we not only have an obligation to provide you with expert compliance advice, but a duty to help you protect your firm's most valuable asset – your clients .

Please contact us for a free compliance consultation

or

Call Toll Free at 866-505-3542