clients / 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. Our 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.