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Registered Investment Advisor and Broker/Dealer Compliance Services

At Hamilton Associates, PC our Compliance Service goal is simple - We recognize the importance of understanding your business in order to provide your unique compliance program. We develop a personalized compliance program tailored to meet your firm’s needs to ensure you meet your fiduciary responsibilities.

Often regulations change which can affect your day-to-day business procedures; and we can keep you ahead of the game. At Hamilton Associates, PC, we consider these changes as important as your initial compliance program. Rest assured, you can focus on growing your firm, and leave your ongoing compliance concerns to us.

Below is a list of services Hamilton Associates can offer to our clients. While this list is not meant to be exhaustive and every client may not need all of the services listed, we do offer complete compliance service packages as well as one-off service pricing.

All service offerings come with periodic on-site meetings.

To discuss the specific needs of your firm or to inquire as to particular services, please contact us at a or call us at (712) 322-0277.

RIA and Broker/Dealer Services:

  • Annual Risk Assessment and Compliance Review
  • Form ADV Filings and Amendments including the Brochure
  • Compliance and Supervisory Manual development and review
  • Written Supervisory Procedures
  • Investment Advisory Agreements
  • Privacy Policy
  • AML Policy Development and Review
  • Desktop Procedures
  • Training
  • Mock Exams
  • Outside Business Activity Review
  • Best Execution Verification and Review
  • Personal Security Transaction Review
  • Social Networking Compliance Review
  • Marketing and Website Review
  • Performance Fee Language
  • Registration and Licensing Compliance
  • Code of Ethics Development and Review
  • Wrap Program
  • Compliance Calendar
  • At least Annual Compliance Meetings
  • Updates as to regulatory changes and developments tailored to your firm
  • Record Retention Requirement Review
  • Business Continuity Planning and Testing
  • Supervisory Control Review and Testing
  • Branch Office Inspections
  • Sales Practice Review
  • Insider Trading Policy Development and Review
  • Clearing Agreement and other 3rd party contract review and assistance