Finop services are our core offering and our veteran staff is comprised of Series 27/28s ready to file your FOCUS Reports; help with your books, records and internal control procedure; and satisfy FINRA/GAAP accounting needs.

ARC Consulting Systems, LLC
Phone: (732) 533-5074
Visit ARC Consulting Systems, LLC

A professional website design company focusing on high-end and Web 2.0 web design for all business types and industries across the world. One of the oldest web development firms in business since 1997. Specializing in Custom website development and programming, graphic design, print media, flash, and brand identity enhancement. Mention you found us here and receive 10% off your project!

Free Quote: Custom Website Design

Investment Analytics (IA) is your one-stop legal/compliance consulting firm that operates more like your business partners--caring to be proactive with insight and analysis that compliments your case or your company’s strategy. Our expert team will get to know you, your business, and your challenges.

Imhoff Consulting Project offers custom compliance services to small broker-dealers. We are proud to deliver compliance expertise that is personal, flexible and specialized. Our goal? To give you an alternative to the less focused, full-service model. In other words, the attention you want at a price you can afford.

CFR Associates provides broker dealers, investment advisers and hedge fund managers with the services needed to support compliance. Founded in 2002 to fill the; compliance, AML, Internal Audit, Special Projects and Financial Principal needs of small and medium size firms.

At RIAICO we provide integrated solutions for advisors to solve their Compliance, Technology, Operations and Marketing needs. We provide turn-key solutions for Going Independent or Breakaways as well as established advisors. Once established we continually monitor each part of your business including compliance to ensure that all changes to your business are made efficiently including your website. More... Visit FAfreedom.com or RIAICO.com

Kapco Group provides compliance, administrative, operational, trade, and general management advice and support. We will guide you through the new and continuing membership process, and customize your policies/procedures. Independent AML BCP OATS ACT TRACE audits. Temporary licensing solutions in various principal capacities and FINOP services available.

Advisor Placement Group specializes in independent broker/dealer and RIA transitions. Our goal is to assume the due diligence and negotiations with potential independent firms, so that financial advisors can keep their focus on their business and clients. We are independent; we are not tied to any particular story or firm, allowing us to serve as the Advocate of the Advisor.

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Specialized Recruiting and Staffing for National, Global and Local Companies and Firms Whose Missions Include Compliance, Legal and Financial Services.

Phone: (973) 826-0537

Visit Rosenthal Consulting Group

Advantage in a Regulatory World. LIMRA's Compliance & Regulatory Services experts can help you by providing solutions that are the industry standard. We support the compliance needs of broker-dealers, investment advisers, and insurance companies. We deliver the results you need to meet today's regulatory scrutiny and turn these requirements into a brand advantage.

This site was created to provide timely and practical information for Financial Advisors on Going Independent and all that's involved in the process. The site will feature articles, tools and other resources including one on one consulting services which we hope will inform, educate and inspire those who visit.

IMS is a full service financial consulting firm that has been servicing the needs of the financial services community since 1985. As such, we have been performing regulatory, financial, operational, and recruiting functions for securities broker-dealers and commodities firms both large and small for over two decades.