Will My Compliance Department Will Approve? has been approved at many compliance departments of RIAs and broker-dealers. We have experience talking with your compliance department to walk them through the functionality and the ways in which we keep you and your clients safe and secure.

In fact, we may already be approved at your broker-dealer, or in the middle of that conversation. Below is a sample of a few firms where we have been approved. Note this is just a sample and this page is not dynamically updated.

What Should I Tell Compliance?

If you know your compliance office, the best first step is to send an email to your CCO. Very large firms will have a form for advisors to indicate interest in a service.

We have found it is best for us to be able to speak directly to the compliance department, wherever possible. When we can present directly to compliance via screenshare, this helps compliance departments understand more quickly -- a picture is worth a thousand words.

While each department is unique, there are many commonalities. We have all the documentation and ready that they might request. And we are very used to filling out questionnaires