RIA Compliance Services

With decades of professional hands-on experience, B/D Compliance Associates offers top-of-the-line compliance solutions for Registered Investment Advisors.

What keeps the owners and stakeholders of Registered Investment Advisors up at night?  Certainly, there is the constant pressure for revenue, profitability, and growth.  But what frightens the Senior Management of most RIAs the most is the fact that they could potentially lose it all at the hands of a compliance lapse, a rouge employee, a trade error, a cyberattack, fraud, or client complaint and litigation.  Those fears are real. 


A successful RIA owner will embrace the critical risk areas and make sure there are reasonably designed systems and highly skilled people in place to mitigate the risks.  Because of the increasing gravity of the risks RIAs face, the demand for experienced and talented compliance support has skyrocketed exponentially over the past few years.   It has simply become harder and harder for investment firms to fulfill the requirements set by the regulatory bodies. The challenge is to keep up with the new rules and regulations and not everybody can do it independently. To provide a solution, compliance consulting firms offer services that can assist financial advisors in managing risk before a career-threatening event endangers a firm.

What to Look for in a Compliance Consulting Partner

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. 

What’s on the RIA Risk Management and Compliance Checklist?

Here are some things that a good Compliance Consultant can assist you with:

  1. Form ADV Filings, Registrations, and Notice Filings
  2. Mandatory Rule 206(4)-7 Annual Review
  3. Form CRS and Regulation BI Compliance
  4. Compliance Risk Management Oversight
  5. Mock Audit and Independent Testing
  6. Certificates and Attestations
  7. Regulatory Examination Preparation & Assistance
  8. Cybersecurity Testing and Business Continuation Planning
  9. Advertising & Marketing Reviews
  10. Serving as Your Outsourced Chief Compliance Officer
  11. Operational Integration and Compliance Consulting
  12. Compliance Team Mentoring and Training
  13. Continuing Education Programs

How does B/D Compliance Associates Charge for Compliance Consulting Services?

Our aim is to be extremely competitive with our pricing.  We understand that hiring a compliance consultant is an investment in managing risk, so we ensure that our prices are comparable with the ongoing market rates.  No sticker shock.  We work on a project basis for a flat fee, on an hourly basis with a written estimate on the front end, or on a monthly basis for ongoing services.  You choose how you want to engage us depending on your needs. We will always provide a written proposal to you after we better understand your firm and your needs and before we begin services.

BD Compliance: Expert Compliance Consulting for Registered Investment Advisors

BD Compliance Associates Inc. is a reliable compliance consulting firm that has industry experience, investment adviser compliance expertise, and a thorough knowledge of the regulatory requirements. We can fulfill or supplement all your compliance needs. Our services are designed to help investment advisers meet the rules and regulations set by the SEC and state regulatory bodies and ensure that they are protected from regulatory risks.  Our team is dedicated to delivering quality, innovative, and cost-effective solutions for your compliance needs.




Meet Our Leadership Team

Carrie Wisniewski, CM&AA, CFCS, CRCP™, CSCP™, CFE, MBA

Carrie Wisniewski is the President/Founder of BD Compliance Associates Inc. She has 35+ years of experience in the securities industry.  She has an MBA degree in Finance and has gained several notable designations within the industry including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance Professional™, and Certified Securities Compliance Professional™.   Carrie is a former Senior Examiner with FINRA and is well regarded in the industry for her vast understanding of complex compliance and FinOp matters. 


Tiffany Messenger, Chief Administrative Officer

Tiffany Messenger serves as the Chief Administrative Officer and manages all registration/licensing issues for the company and its independent contractors. With nearly 20 years of experience within the industry, Tiffany is well-versed in the registration and licensing challenges facing Broker/Dealers and Registered Investment Advisors.


Bart Wisniewski, Executive Assistant

Bart Wisniewski is an Executive Assistant with BD Compliance Associates Inc. and serves as a Compliance Officer with Bridge Capital Associates, Member FINRA and SIPC. Bart holds FINRA qualifications including Series 63, Series 82, and Series 24.

Let's Connect

If our vision resonates with you, please contact us today to get further details about the services we offer and discuss how we can specifically help you. Reach out to us and let’s talk about how we can help protect your firm.


B/D Compliance Associate, Inc.




5726 Williamsburg Drive NW

Norcross, GA  30093