RIA Compliance Consulting
Compliance support built around your firm.
Practical, tailored compliance solutions for investment advisers at every stage — from registration through ongoing regulatory support.
Who We Help
Dempsey Compliance Consulting works with investment advisers at different stages of growth and complexity, providing practical support tailored to each firm's business and regulatory obligations.
SEC-Registered RIAs
State-Registered RIAs
Firms Preparing for Registration
Evolving Advisory Models
How We Help
Practical compliance support designed to meet firms where they are — from registration and program development to ongoing regulatory and project-based needs.
Registration & Launch
SEC and state investment adviser registration support, foundational compliance documents, and implementation guidance
Annual Compliance Reviews
Structured annual review support designed to identify gaps, prioritize improvements, and keep the compliance program current.
Ongoing Compliance Support
Practical support for regulatory filings, policies and procedures, marketing review, and evolving compliance obligations.
Regulatory & Project Support
Exam readiness, regulatory change implementation, special projects, and support for evolving or complex advisory models.
Why Dempsey
Experienced compliance guidance grounded in real-world advisory operations and tailored to the needs of each firm.
Experienced Regulatory Perspective
Senior-level compliance experience across traditional RIAs, evolving business models, and a range of regulatory environments.
Practical, Business-Minded Guidance
Compliance solutions designed around how the firm actually operates — not a one-size-fits-all checklist.
Strategic Partnership
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Support that goes beyond identifying requirements to helping firms prioritize, implement, and maintain an effective compliance program.