Dempsey Compliance Consulting provides practical regulatory compliance support to registered investment advisers and firms navigating the investment adviser registration process.
Our approach is grounded in real-world advisory operations, with an emphasis on practical guidance tailored to each firm’s business model, regulatory obligations, and stage of growth.
About Dempsey Compliance Consulting
Founded by DeeAnn Dempsey
DeeAnn Dempsey is an attorney and experienced investment adviser compliance professional with more than a decade of experience supporting registered investment advisers across a range of regulatory and operational environments.
Her work has included SEC and state investment adviser registrations, ongoing compliance consulting, annual compliance reviews, regulatory examinations, compliance program development, regulatory filings, marketing and advertising compliance, and support for firms operating evolving or complex business models.
Dempsey Compliance Consulting was founded to provide firms with senior-level compliance guidance that is practical, responsive, and grounded in how advisory businesses actually operate.
Our Approach
Practical
Clear guidance focused on what matters and how to implement it.
Tailored
Compliance support designed around each firm’s operations, risks, and regulatory obligations.
Strategic
A forward-looking approach that helps firms prioritize, implement, and maintain effective compliance programs.