Choosing the right compliance consulting partner can be a difficult task. Most consulting firms fit into one of two categories.  First, there are the turnkey solutions that provide fill-in-the-blank policies and procedures that don’t consider the true nature of the RIA’s business and often treat the RIA as just another customer.  These firms can inflict more harm than provide value.  How? If your policies and procedures say you are performing a supervisory or operational task, you better be doing it, and most importantly, you better be able to prove it. Secondarily, there are those compliance consulting firms that lack the historical view of the evolution of regulation for RIAs. These firms and their consultants simply haven’t been through the battles or endured the challenges that come with decades of veteran compliance leadership.

A good compliance consultant has veteran industry regulatory experience and will customize its services to you without treating you like a number.  B/D Compliance Associates is led by a former FINRA Senior Examiner and industry veteran CCO and boasts a team that has almost 80 years of real-life hands-on industry experience.  We help manage risk for an exclusive and select list of RIAs to ensure we provide personalized and customized compliance services to each client based on their unique business model and needs.