Don't stress over compliance.
Proficient Compliance helps SEC- and state-registered investment advisers navigate the regulatory waters using practical solutions for their compliance needs.
Services
We offer the following services:
Annual Review of SEC-Registered Firms
Compliance Review
Assistance with Regulatory Filings
Exam Support and Response
Monthly Compliance Task List
Proofreading/Editing
Formatting of Word Documents
Our Practice
Trust us with your compliance needs. Jan has over 15 years of experience in the Registered Investment Adviser industry.
The best compliment you can give is a referral.
— Jan Huff
Client Relationships
Building strong client relationships is very important to us. We take the time to get to know you and your business.