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Compliance Services: Investment Advisers and Broker Dealers

In today’s highly regulated environment, compliance with regulatory requirements and industry best practices is paramount.

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Registered investment advisers (RIAs) and broker dealers must navigate the constant complexities throughout the ever-evolving regulatory landscape of asset management, while exempt reporting investment advisers must continuously manage client expectations to address compliance conflicts of interest.

Weaver provides services and guidance addressing compliance needs and allows organizations to focus on what matters most – their investors and clients.

With a wealth of subject matter experience, Weaver offers compliance solutions tailored to RIAs and exempt reporting investment advisers. Our team includes former chief compliance officers and senior compliance officers offering extensive experience working with public and private investment management firms. Developing a custom-tailored approach for each client, Weaver eases the compliance burden, meeting regulatory challenges head-on and helping to ensure operations are in line with industry best practices.


Comprehensive Range of Compliance Solutions

Our customized compliance solutions support private fund advisers and broker dealers allowing them to meet their SEC and FINRA regulatory requirements and standards. These solutions include partial and fully outsourced compliance coverage that extends to every facet of your program – from reviewing and updating policies and procedures to conducting risk assessments and trainings for employees. With robust oversight and engagement, our compliance offerings aid your long-term success.


Registration and Filings

SEC and state registration
Form ADV
Form PF review
13F and 13H

Ongoing Compliance Assistance

IARD administration – (Electronic filings system for exempt reporting and registered advisers)
Unlimited phone and email correspondence
Policy and procedure creation and maintenance
Advertising and marketing (including social media review)
Electronic surveillance
Code of ethics – SEC Rule 204A1

      • Personal securities transactions review (e.g., IPOs Private Placements)
      • Outside business activities
      • Political contributions
      • Material Non-Public Information Monitoring (MNPI)
      • Gifts and entertainment

Compliance trainings and education
Regulatory exam support

Testing and Monitoring

206(4)-7 Annual risk and assessment and compliance review
Quarterly and annual testing
Business Continuity Plan (BCP)
Service provider review and due diligence
Mock exams

Broker Dealers

Form U4, U5 and Form BD matters
Business continuity plan
Written supervisory procedures
Branch office inspections
Anti-money laundering audits
Perform 3120/3130 supervisory controls assessments
Provide regulatory inquiry assistance

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