“I was put in the CCO position because my company needed me to be in the role. I was very nervous about taking on a position that I was not fully prepared for educationally or experience wise. Compliance Resource Partners has been great at being my “training wheels”. I really appreciate the hand holding they give me. I’ve gained a lot of confidence in my ability as a CCO in the last couple years that I have been working with them and we have been having weekly calls for over a year now. The team at Compliance Resource Partners are helpful at keeping me on task with the filing requirements and preventative measures such as risk assessments and compliance manual.”

 

June Adams, Trilogy Capital

“If you are considering launching your own RIA, you have many decisions to make. I’ve done it and I feel your pain. Decisions surrounding your compliance team can quickly become clouded with anxiety for a number of reasons. The Compliance Resource Partners Team knows compliance inside and out, and they will help your RIA get approval, prepare for exams, and even ride along with you when auditors call. What makes them unique is that they speak, hear, understand and relate to the multitude of pressures pulling on producers, they’re down to earth, and fun to work with. This matters A LOT for our team where cultural fit and competency are both mandatory. Another thing the team does so well is taking the time to understand what we need to accomplish and aligning our needs with the best practices they’ve learned through years of assisting advisors through audits.”

 

Abel Hall and Drew Hall, Family Wealth Partners

“I had been a registered representative with 3 different broker dealers over 34 years before I decided to become an independent registered investment advisor in 2017. I engaged the services of a large compliance outsourcing company for my initial setup and ongoing compliance. I used their services for a year before I was referred to the services of Compliance Resource Partners in Littleton, CO. The difference in services was immediately apparent as I was provided more personal attention as well as more professional documents and recommendations as I converted to CRP's structure. The most glaring illustration of the benefits received from CRP's services have revolved around regulatory audits and responses. I highly recommend CRP's services to anyone looking to begin an advisory business or make the move from a broker/dealer environment to an independent strategy.”

 

W David Frier AIF  , Pathway Advisors Group

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“As an RIA owner, producer, CFO and CCO, my weekly calls with Compliance Resource Partners are paramount in keeping my firm and I up to date with everything we need to do for compliance. Their help and guidance is the first thing I tell other advisors they need if considering moving to an RIA model. Compliance can be a daunting and ominous task but with our weekly calls it is manageable, almost enjoyable, and I spend less time total on the task than I was expecting when we made the switch.”

 

Rick Hurley, MS, CFP , Heirloom Wealth Management

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