our services

The core of any successful business is a solid foundation of firm specific operational procedures and controls. Our team of experts are dedicated to breaking down complex situations and helping our clients understand how to effectively comply with applicable financial services regulations. Aspect Advisors provides highly customized and detailed compliance consulting services for the financial services industry to assist them in this endeavor. Clients can focus on their area of expertise and grow with confidence.

CHIEF COMPLIANCE OFFICER

We offer dedicated Chief Compliance Officer services to clients looking for more hands-on support and as their grow their firm.

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CHIEF FINANCIAL OFFICER

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.

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COMPLIANCE PROGRAM AND IMPLEMENTATION

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

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INDEPENDENT AND HYBRID 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.

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REGULATORY EXAM SUPPORT

In the event of a regulatory examination, we provide on-going support, including interview presence, drafting of correspondence with regulators, and assistance with remediation of anticipated and received deficiencies. Examiners have increasingly sophisticated tools and 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

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REGULATORY FILINGS

Aspect Advisors will maintain regulatory filings and apply for additional registrations, as appropriate, based on recurring filing requirements and changes in your business.

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SCALE YOUR BUSINESS

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.

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BESPOKE PROJECTS

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.

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