Institutional-Grade Compliance for Independent Advisors
JAS Compliance Solutions partners with registered investment advisers seeking experienced, proactive, partnership-level compliance support. We specialize in helping investment advisers prepare for SEC examinations, minimize business disruptions during the examination process, and build sustainable compliance programs that support long-term regulatory readiness. Our service model is designed for firms that value responsiveness, practical guidance, and ongoing regulatory insight.
Comprehensive Compliance Solutions
From initial registration to ongoing supervision, we provide end-to-end compliance support that keeps your firm protected and exam-ready.
Compliance Program Development
Custom-built compliance manuals and policies tailored to your firm's investment strategy, client base, and regulatory obligations.
Mock SEC/FINRA Examinations
Prepare your team with realistic regulatory exam simulations that identify gaps before they become actual examination findings.
Annual Review & Testing
Systematic, documented review of your compliance program tested against current SEC and state regulations and industry best practices.
ADV & Regulatory Filings
Accurate, timely preparation of Form ADV Parts 1 and 2, U4/U5 filings, and all required state and federal regulatory submissions.
Compliance Training
Interactive, role-specific training programs for advisors, operations staff, and firm leadership on current regulatory requirements.
Risk Assessment
Identify and mitigate compliance risks before they become examination findings — with actionable remediation plans and prioritized timelines.
Why Firms Choose JAS Compliance Solutions
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Deep regulatory expertise across SEC, FINRA, and state regulations — built over 15+ years of advisory compliance work
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Proactive approach — we monitor regulatory developments and update your program before new rules take effect
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Customized programs built around your firm's strategy — not one-size-fits-all templates that leave gaps
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Responsive, dedicated support when you need it most — especially during regulatory inquiries and examinations
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Proven track record with firms of all sizes and strategies — from emerging managers to established multi-billion AUM advisors