BD/IA Compliance Solutions, LLC Employee Directory

Investment ManagementMaryland, United States0-1 Employees

BD/IA Compliance Solutions, LLC is a small professional services firm based in Baltimore, Maryland, focused on helping the investment management industry manage compliance responsibilities. It serves registered investment advisers and broker-dealers, assisting with entity formation, registration, and the preparation of required filings. The firm develops customized materials, including compliance manuals and written supervisory procedures, tailored to each client's business model. 

In addition to startup support, the firm helps clients maintain ongoing compliance as regulations evolve and as their operations expand, guiding internal compliance and supervisory frameworks. It also aids in preparing for regulatory examinations and is available to provide answers to questions about compliance issues as they arise.

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