Boutique Compliance.
Experienced Counsel.
Experienced, relationship-focused compliance support for independent investment advisers.
JAS Compliance Solutions provides experienced, proactive compliance guidance to independent investment advisers. We work as an extension of your firm, helping you navigate regulatory obligations, strengthen your compliance program and stay prepared for what comes next.
Serving Independent Advisers Across the Country
Proud to support independent investment advisers in communities nationwide.
Comprehensive RIA Compliance Support
From initial registration through ongoing compliance support, JAS provides practical guidance designed around your firm's business, regulatory obligations and evolving needs.
Ongoing Compliance Consulting
Day-to-day guidance to help you meet regulatory obligations and strengthen your compliance program
SEC & State Firm Registration
New firm registrations and amendments with the SEC and state securities regulators
Annual Review & Testing
Independent reviews and testing to help ensure your compliance program is effective
Regulatory Filings
Preparation and filing of Form ADV and other ongoing regulatory submissions
Regulatory Examination Support
Guidance and support before, during, and after SEC and state examinations
Compliance Program Development
Policies, procedures, and manuals tailored to your firm's business and risks
A Proven Approach to Compliance
Build the Foundation
Compliance training and customized policies, procedures and regulatory framework designed around your firm's business and regulatory obligations
Maintain the Program
Ongoing testing, monitoring, filings and guidance to keep your compliance program effective and current
Stay Exam Ready
Preparation, mock examinations and regulatory examination support when you need it most
Looking for a More Personal Approach to Compliance?
Let's talk about your firm and your compliance needs.
Schedule a Conversation