INVESTMENT ADVISER COMPLIANCE SERVICES

DNM Consulting offers a full suite of services for both SEC and state registered  investment advisers. 

If you are looking to start and register a new investment adviser, DNM will assist and guide you through the registration process and provide you the documents and procedures to launch your new firm.   

What about if you're an experienced firm looking to outsource your Chief Compliance Officer role or need compliance support services so you can focus more on your clients and running your business or just having a life?  DNM can be the answer to the question, “What do I do now?”  

We deliver our services via multiple platforms depending upon our clients’ needs. Whether hourly billing or fixed fee projects, DNM Consulting will customize a program to meet your needs. 

Investment Advisory Compliance Services include:

• Annual 206(4)-7 Risk Assessment and Compliance Review 
• Form ADV Review and Revisions and Filings
• Compliance Manual Creation/Customization/Review  
• Investment Advisory Agreements Creation and Review
• Solicitor Arrangements Creation and Review
• Privacy Policy Creation and Review
• On-site Compliance Assessment
• Anti-Money Laundering Assessment and Implementation
• Mock SEC Exams
• Advertising and Correspondence Review
• Best Execution Verification
• Outside Business Activity Review
• Personal Securities Transaction Review
• Account Analysis and Exception Reporting
• E-Mail Monitoring
• Social Networking Compliance Review
• Solicitor Review and Supervision
• Fee Calculation Analysis and Billing Monitoring