Who We Work With
SEC- and state-registered investment advisers seeking a long-term, collaborative compliance consulting relationship.
Our Ideal Client Relationship
We work best with SEC registered investment advisers seeking a long-term, collaborative relationship with an experienced compliance consultancy. Our clients value proactive guidance delivered through a structured, year-round framework that we designed and manage through our Annual Compliance Program.
Select Engagements
We may also accept select, limited-scope engagements with clearly defined objectives, including:
- Investment adviser registration
- State-to-SEC registration transitions
- Drafting of Form ADV, Compliance Manual, Code of Ethics, and Business Continuity & Disaster Recovery Plan documents
- Mock regulatory examinations
- Other targeted compliance projects
We are not the right fit for advisers seeking occasional, purely reactive, or hourly support. Our focus is on developing lasting, high-touch relationships that help firms establish strong compliance programs and mitigate regulatory examination disruptions.
Ready to Discuss Your Compliance Needs?
Schedule a no-obligation consultation with our team. We'll learn about your firm and discuss how JAS can support your compliance program.