Boutique Compliance Target mid-size financial services firms seeking customized, high-touch compliance programs led by a former SEC enforcement attorney. Emphasize tailored services such as SEC registration, policy creation, Form ADV and Form PF assistance, and forensic testing to address evolving regulatory demands.

Flexible Engagements Highlight scalable pricing and engagement models (hourly, project, or retainer) to accommodate varying compliance budgets and project scopes, appealing to firms needing predictable costs and personalized service.

Practical Expertise Position the team’s dual background in legal and financial sectors as a differentiator for risk assessment and practical implementation, offering actionable, market-aware guidance that helps clients stay compliant now and in the future.

Tech Enablement Leverage and cross-sell technology stack capabilities (QuickBooks, WordPress, Microsoft 365, Monday.com) to offer integrated compliance operations, documentation workflows, and client portals that improve efficiency and transparency.

Growth Opportunities Capitalize on revenue scale and growth potential by targeting similar firms in adjacent areas while showcasing a proven revenue range and service breadth to accelerate cross-sells of training, policy reviews, and annual compliance programs.