ACCESS TO COMPLIANCE AND LEGAL SOLUTIONS for Independent iNVESTMENT PROFESSIONALS  

from start-ups to one-person shops to medium size established firms, we bring big company solutions to you at an affordable price. we provide small-business style 

service to all our client relationships - hands on & all inclusive.


your success is our business

Assisting clients navigate the regulatory maze while being aware and responsive to the challenges of growing your assets and client base. 

CONTACT US NOW

Experience You Can trust and count on

Our clients

From start-up to maturity

We serve a wide range of clientele throughout the US and overseas including SEC & State registered investment advisors, hedge funds, private equity firms, and financial planners. Each client is taken through the Circle of Compliance®

 REGULATORY SOLUTIONs FOR the independent minded investment professional

Our Definition of the Small and Mid Sized Investment Manager


Typical Client Profile: AUM: $0 to $50 billion - STAFF SIZE: less than 50 - REGULATORY NEEDS: same as the big firms - BUDGETARY CONSTRAINTS: limited or defined by revenues - COMPLIANCE RESOURCES: Chief Compliance Officer (CCO) with little or no compliance staff - Lots of multitasking ALL DAY, EVERY DAY!


Sample Clients: SEC REGISTERED ADVISOR: Staff of 4 with AUM $95 million, FINANCIAL PLANNER: State Registered with staff of one with AUM $10 million, SEC REGISTERED ADVISOR: Fee-only with staff of 8 with AUM $200 million, START-UP INTERNET ADVISOR: Staff of 6 with AUM $0, SEC REGISTERED INDEX MANAGER: Staff of 25 with AUM $40 billion, STATE REGISTERED HEDGE FUND: Staff of 3 with AUM $20 million, SEC REGISTERED INVESTMENT ADVISOR: Staff of 18 with AUM $600 million, COMMODITY TRADING ADVISOR/COMMODITY POOL OPERATOR: Staff of 5 with AUM $100 million, MULTI-STATE REGISTERED ADVISOR: Staff of 15 with AUM $55 million, SEC REGISTERED PENSION CONSULTANT: Staff of 42 with AUM $32 billion 


Sample Services:

  • SEC Mock Audit - State and Federal registration
  • Customized Compliance Policy & Procedures Manual
  • Legal analysis and support
  • Form ADV Brochure registration filing and annual updates
  • Compliance Program development
  • Creation and delivery of annual training program
  • Privacy and Business Continuity Plan policies and disclosures
  • Assist with State and Federal regulator inquires
  • Monthly and On-Going support


BROKER DEALER ACQUISITION * SEC INVESTMENT ADVISOR REGISTRATION * HEDGE FUND LAUNCH * CFTC NFA REGISTRATION * STATE REGISTRATION 


​​OUR WORKING PHILOSOPHY - Provide access to comprehensive compliance and legal solutions with a focus on small and mid-sized investment managers. Our approach takes into consideration the client's resource constraints and overall business needs.  All solutions are customized to each client's individual regulatory needs and budgetary requirements. 


We take a long-term, relationship based approach on all engagements. Our reputation and history of success speaks for itself.  We pride ourselves in providing investment professionals with the "know-how" to proceed in today's complex regulatory environment. We become an integral part of our client's business team by offering all-inclusive regulatory solutions. 

value add

Every compliance engagement includes an experienced compliance consultant and one dedicated investment attorney at no additional cost to the client. With evolving regulations and changing laws, we provide expertise from qualified, reputable professionals to position you and your business for success.

Boston Compliance Associates