Who Do We Serve?

Aspect Advisors provides compliance consulting services for a variety of financial industry participants, particularly those involved with alternative assets. With our broad and deep experience, we focus on modern compliance issues facing innovative entrepreneurs such as:

BROKER DEALERS

Our firm is built on our broker-dealer expertise and that experience comes from establishing broker-dealers through New Membership Applications (“NMAs”) and also from running broker-dealer firms.

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CPO-CTA

Traditional futures and commodities managers (including CTAs, CPOs, IBs and FCMs) understand the detailed, time-consuming, and sometimes frustrating process of establishing and maintaining a CFTC and NFA compliant firm.

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DIGITAL ASSETS

We believe that digital assets and new protocols are the future. For digital asset managers, we know compliance and we have a deep understanding of the specific issues that matter in this new space.

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FINTECH

The investment management industry is undergoing a sea-change led by fintech entrepreneurs. Innovation in how people consume financial information, save, invest, make loans, and make payments have made financial life easier and faster in many profound ways – however, the old way of financial regulation still applies to many fintech firms.

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FUND MANAGERS

The private fund space is a central part of our expertise and we understand that the private fund industry is in constant flux – many times we see managers offer flexible products to meet the needs of their changing investor demographic. 

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INVESTMENT ADVISERS

Traditional investment advisers and wealth managers have been the backbone of the investment management industry. As their businesses evolve to meet the demands of a changing demographic equipped with on demand technology, the ways of previously dealing with compliance change.

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