TESTIMONIALS

At DNM Consulting, we believe our work speaks for itself.  However, we prefer to let our clients speak for us.  

For many years, I struggled with prior compliance consulting firms that offered cookie-cutter guidance and were focused more on templates than on personal service and answering our questions.  DNM Consulting changed all that and has been an indispensable part of our day-to-day operations for several years, having guided us through several SEC examinations as well as the formation of a new investment adviser.  Their knowledge and expertise has helped us address areas of risk and navigate a rapidly changing regulatory environment.  Just as importantly, we have come to rely on their experience and insight to help develop best practices, discuss new ideas and ultimately grow our business.  DNM is my first call when a new situation or question arises.  

  --Carson S.  Chief Compliance Officer $400 million Investment Adviser

DNM brings something rare to the business environment these days…integrity and a personal touch! They have walked with us for over 7 years and their combination of competency, knowledge and advice in the compliance arena have been a valuable and trusted resource. We look forward to many years with them into the future and highly recommend their services. 

--Chris W.  Owner $100 million Investment Adviser

During the sale of our firm, and while advancing through a CMA with FINRA, DNM Consulting stepped in, stepped up, and provided an experienced, outsourced CCO for both the broker/dealer and investment adviser.  They also handled due diligence and sales supervision for all investment transactions including complex, alternative products.  DNM Consulting’s knowledge, diligence, and responsiveness supported critical compliance functions and the ultimate, successful sale of the firm.   

--Scott S.  Chief Executive Officer   National Broker/Dealer and Investment Adviser

DNM Consulting has been doing an excellent job with our RIA risk assessments and regulatory exam responses for a number of years. Last year we decided to expand their role to provide additional support for our advisory business including supervisory oversite and surveillance and ultimately an outsourced CCO. They have now become an integral part of our compliance team and will be for many years to come. 

--Pat S. Chief Compliance Officer  $600 million Investment Adviser and Broker/Dealer

We worked with DNM Consulting for a number of years at our prior firm so when we decided to form our own, we brought DNM along as part of the team to provide transition expertise and ongoing compliance support. Their knowledge and insight are essential to us and has allowed us to focus on growing our business and taking care of our clients.

--Greg S. Chief Compliance Officer  $1.2 billion Investment Adviser

Navigating a challenging compliance landscape while growing our firm would not be possible for us without the indispensable service of DNM Consulting.  They operate proactively to keep us in-line with industry requirements that constantly change allowing us to focus our time and resources elsewhere.

--Kris M.  Chief Compliance Officer  Investment Adviser and Broker/Dealer

We partnered with DNM Consulting in 2020 with the goal of onboarding the investment component of our business and outsourcing our compliance function including the CCO responsibilities. DNM has been a tremendous asset and easy to work with. They have quickly become an indispensable part of the team that I know I can rely on.

--Andy G. Vice President Internet Investment Adviser

Our firm has been working with DNM Consulting for over seven years.  They have assisted in our continued growth as an RIA with an efficient, timely and honest approach.  We are grateful for their ongoing support covering all our compliance needs.

--Adam G. Chief Compliance Officer $400 million Investment Adviser