About Us

Serving the Compliance Needs of the New York Investment Adviser

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 registered investment advisers with cost-effective compliance solutions tailored to meet their unique needs.

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New York Compliance Consultants was formed when the company's founder, Scott Gottlieb, could no longer ignore the large void in the services available to small to mid-sized state and SEC-registered investment advisers. Until the formation of New York Compliance Consultants, the state's investment advisers had little choice but to turn to either high-priced law firms or large service corporations for their registration and compliance needs. Because these law firms and service corporations were focused on the more lucrative business of servicing broker-dealers and large investment advisory firms, the small to mid-sized investment adviser was denied the level of service and attention they needed and deserved. With the formation of New York Compliance Consultants, the small and mid-sized investment adviser now has a local company that is devoted solely to servicing their unique registration and compliance needs.

Scott Gottlieb is a graduate of Tufts University and the University of Connecticut School of Law. He practiced corporate and securities law at Kelley, Drye & Warren LLP, a New York-based international law firm, as well as with state-based law firms. During the course of his career he has developed, implemented and supervised the compliance systems of broker-dealers, hedge funds and investment advisers and has advised clients on initial public offerings, private placements, venture capital financings and international joint ventures. Prior to law school, Scott maintained his Series 7 license as a Financial Consultant with Merrill Lynch & Co., Inc.

Scott is a member of the National Society of Compliance Professionals; the Association for Practical and Professional Ethics; the Hedge Fund Association; and the American Bar Association’s Center for Professional Responsibility.