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 fee, 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 Support: assistance with regulatory exams, and response to regulatory inquiries.
  • Committee Support: help improve content, direction, and effectiveness of meetings, while achieving compliance and other business objectives. 
  • Public Communications/Marketing Reviews: provide expert review and comment on all your marketing pieces and website, and ongoing remote email reviews. 
  • 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.