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Save time. Do more. Leave the compliance work to us.

Compliance can seem overwhelming, intimidating and sometimes downright unapproachable. For us, it’s our everyday commitment and we love what we do! We’re confident we can make compliance enjoyable for you too.
We’re a leading regulatory consulting firm providing compliance and registration services to Investment Advisers. We’re best known for our ability to design thoughtful compliance solutions, troubleshoot compliance issues and provide a “hands-on”, highly personalized service to our clients.
With an increased level of scrutiny in today’s regulatory environment, it is critical to stay informed and be responsive to all regulatory issues that may impact you and your business. Addressing your compliance concerns allows you the freedom to focus on your core business, increasing your efficiency and profitability. We pride ourselves on offering customized solutions for our clients and are committed to providing you with the personal and timely attention you expect and deserve.
Whether we help you start your firm or work with you on an ongoing basis with our retainer program, you can be assured that we have the industry experience and regulatory expertise to meet all your compliance needs. Our services are designed to assist firms like yours, in understanding and streamlining your compliance responsibilities.


Strategic solutions

Every firm is unique– that’s why we partner with each client to develop a strategic solution that makes sense for them. And we streamline that service so it’s a simple process for you to follow.


Ongoing support

Whether it’s helping you address ongoing issues or answering your questions and concerns, our team of compliance experts is at the ready.


Our goals are simple

Keep you informed and keep you compliant.

Meet the team

We bring decades of experience and a personal touch that makes it feel like we’re part of your internal team. And our breadth of services can help guide established firms and start-up groups through any regulatory process. This isn’t as personal as a handshake but click below so we can connect.



Kim 6751_07-09-2021-13-38-40.png

Kim founded Compliance Resource Partners to provide extensive support, knowledge and training to advisory firms and broker/dealers.  Kim serves as the president and has been providing compliance support to broker-dealer and investment adviser firms nationwide since 1988 and has been in financial regulatory compliance since 1983. See more...


Principal Consultant



Senior Compliance Consultant

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Stacie is a Senior Compliance Consultant where she works with firms in developing more robust compliance programs including preparing and amending compliance policies and procedures as well as performing risk reviews and mock audits. She also leads the corporate efforts in researching investment adviser compliance trends, providing educational newsletter articles and developing policy language for the firm’s compliance documents. See more...


Compliance Consultant


Sara is a Compliance Consultant specializing in registrations and general consulting for day to day compliance duties.  She partners with compliance professionals to provide best practices and regulatory guidance. See more...


Compliance Operations Associate

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Lindsay is a problem-solving, detail-oriented, Compliance Operations Associate who is qualified in administering regulatory compliance operations programs, such as assisting in state and SEC registrations, completing CRD/IARD regulatory filings, drafting client agreements and ADV filings that meet federal and state regulatory requirements, and general administration for day-to-day compliance duties. See more...

What our clients have to say....

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