We offer dedicated Chief Compliance Officer services to clients looking for more hands-on support and as their grow their firm. Outsourcing the role of Chief Compliance Officer benefits Investment Advisors by alleviating a variety of compliance related burden to us.


In addition to our regulatory compliance consulting services Aspect now offers a broad range of finance and operations CFO consulting services for Private Equity, Venture Capital and Hedge Funds as well as other Financial Services firms.


We design custom policies and procedures based on your business and support the implementation of those controls.


Aspect Manages Your Regulatory Status and Your Regulatory Filings.

You have enough on your plate driving revenue and performance and keeping your clients satisfied. Aspect Advisors can oversee preliminary and periodic requirements to initiate and maintain the regulatory status that fits your business needs.


Regulatory examinations are inevitable and the examiners have increasingly sophisticated tools at their disposal. Our team takes audit preparedness seriously as we understand the impact that both the audit process and result can have on you from many different perspectives. To mitigate these potential issues, we implement systems of surveillance and periodic testing with the goal of identifying and reducing risk while minimizing the burden on your staff.


Aspect Supports Marketing, Business Development, and Expansion. To effectively grow your business, you need confidence that your opportunity is communicated to the world in accordance with regulatory standards. We ensure that your target audience, preferred means of messaging, and marketing strategy are in line with the most recent regulatory rules, opinions, and expectations.


Working with Aspect, you can focus on your area of expertise and grow with confidence.  We will customize solutions for all your needs. Let us know what’s on your mind.  We can help.

how can we help you?

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 from running broker-dealer firms.


  • Private Placements
  • Investment Banking
  • Mergers and Acquisitions (M&A)
  • Equity Trading
  • Research
  • Custody
Commodity Pool Operators & Commodity Trade Administrators (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. 

We routinely deal with this part of the regulatory landscape and believe that understanding and expertise in this area is built only with years of experience and in-depth interaction with the regulators.  For these traditional entities, we can help you move as quickly and efficiently through any registration, filing or inquiry process.

Digital Asset Managers

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.

Digital assets are distinctly different from traditional securities and we help managers think about dealing with exchanges (movement to and from, risk management), hot and cold storage, private key best practices, and OTC transactions. This is not off-the-shelf compliance, but bespoke development and implementation of controls specific for your firm.

For sponsors or proprietors of new digital protocols, we help you think about how your protocol may or may not be affected by the U.S. securities laws. We can help in the features or product development phase, or with the layer 2 aspects of dealing with your protocol. Everything we do for new protocols is bespoke and tailored, designed for operational excellence.


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.

Aspect Advisor’s goal is to provide entrepreneurs with streamlined, cost-effective and common-sense methods to merge the traditional regulatory approach to the new way of doing business.

Our clients include groups registered as investment advisers with one or multiple states and the SEC. We have specific experience with internet-based investment advisers and robo-advisers.

Independent & Hybrid Registered Investment Advisors (RIA)

Independent and Hybrid RIAs face unique compliance challenges. Technology and Custodial broker-dealer relationships drive many of the levers compliance systems are built on. Advisors are independent and expect the latitude to do the best for their Clients. Advisory practices are bought, sold, and merged frequently.

Aspect understands these challenges and brings a depth of expertise in this area and will apply best practices for compliance given the constraints within the space. We approach compliance with efficiency in mind. We know our client’s resources are limited, and we strive to find the solution that fits with the Firm’s risk appetite, in the easiest, most cost-effective way possible.

Our team comes directly from this space. With over 30+ combined years as CCOs for several hybrid and independent RIAs, countless consulting engagements, and assisting clients SEC exams, our team knows what the SEC is looking for, and more importantly, the best practices to meet their requirements in an efficient manner. Our team also has deep expertise with broker-dealer compliance. This allows us to understand the unique relationship between the RIA and the custodian, whether an Independent RIA or a hybrid RIA. We understand the obligations on both sides and where they overlap and in some cases where they diverge and can advise accordingly.


  • Organization structure consulting, limited purpose broker dealer creation.
  • Annual Reviews – 206(4)-7
  • Full or Partial Mock Audits
  • Due Diligence for Practice Acquisitions
  • Supervisory Review
  • SEC Exam assistance
  • ADV Filing / Amendments
  • Program Creation or Review including:
    • Branch Audit Program
    • Review of new Business Lines
    • Account Surveillance
    • Onboarding / Advisor Review
    • Investment Committee Review
    • Advertising Policy / Review
    • New Account procedures
Investment Advisors

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.

Do you have a project that doesn’t quite fit into any of the categories above? Aspect Advisors can support project-based needs to help clients get from one stage to another.

Let us know what’s on your mind.  We can help.