We provide an inexpensive, all-in-one solution – A single platform that advisors can rely on to efficiently implement and document a robust vendor due diligence and monitoring program.
What We Do
We build and manage RIA service provider due diligence and monitoring programs.
Advisors face the complex task of developing and implementing a service provider due diligence and monitoring process – and absorbing the resultant cost, time, and effort required.
Our team of compliance professionals can make it easy. We’ll do it for you.
Knowledge and Experience
We’ve been managing due diligence for a long time. We know the right questions to ask and where to dig.
SP Policies & Procedures
We’ll write your Service Provider Due Diligence and Monitoring Policies & Procedures.
We Do the Work
Relax! We do the work and your CCO checks in periodically to review what we’ve done.
Portal and Workspace
We create your required Books & Records. You have 24/7 access and take it with you when you leave.
Due Diligence
We’ll do a “deep dive” on new service providers, so you can make the right decision before you hire.
Monitoring
The most important part. We’ll watch up to 30 service providers to confirm they’re performing well.
