Regulatory Expertise TARGET firms in FINRA member broker-dealers seeking compliant infrastructure. Thornton & Associates specializes in written policies, procedures, mock audits, and ongoing regulatory maintenance, making them a fit for startups and incumbents needing confidence before audits.

SMB Focus Capitalize on their mid-size profile (11-50 employees) by offering scalable services that grow with client firms from small operations to expanding RAs, highlighting cost-effective, customized compliance programs.

Consulting Depth Leverage their combined regulator and broker experience to position as a trusted advisor for risk assessment, remediation planning, and procedural enhancements, especially for firms facing complex regulatory changes.

Technology Enablement Offer technology-enabled compliance workflows and integrations with clients' existing tools (Azure, Microsoft 365) to streamline document management, audit trails, and policy updates, appealing to efficiency-focused firms.

Revenue Potential Position services as a recurring revenue model with ongoing compliance support, audits, and policy updates to align with firms in the mid-market revenue band ($1M–$10M) seeking predictable spend and continuous regulatory readiness.