Comprehensive consulting for investment advisors, broker-dealers and private funds.

Flat Fee Services

While many clients hire us on an hourly or fixed-rate project fee, it may work better to use a flat fee arrangement. We are able to structure monthly or quarterly services for a recurring fixed, depending on your needs.

Examples of services typically covered under this arrangement include:

  • Policies and Procedures Manuals–regular updates and reviews
  • Testing and Certification–regular & ongoing reviews to support annual certifications
  • Regulatory
  • Committee Support. Help improve content, direction, and effectiveness of meetings, while achieving compliance and other business objectives. 
  • Public Communications/Marketing Reviews.  We are able to provide expert review and comment on all of your all your marketing pieces and website.  Ongoing remote email review also available.
  • Silent Partner to CEO/CCO–agreed on availability and ongoing assistance for whatever may come up.
  • Team Development. Ongoing training and coaching for staff, supervisors, and executives.