Proficient Compliance helps SEC- and Texas state-registered investment advisers navigate the regulatory waters using practical solutions for their compliance needs.
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.
— 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.