Who We Serve

We offer a range of services to meet the needs of every financial services client. Need something else? We’d be happy to work with you on a custom project.

  • SEC Registration

    Compliance Policies and Procedures

    Form ADV and Regulatory Filings

    Risk Assessments

    206(4)-7 Compliance Program Reviews

    Examination Support

    Consulting

    Training

    Gap Analysis

    Outsourced Chief Compliance Officer

  • Registration

    Written Supervisory Procedures

    Risk Assessments

    Examination Support

    Branch Office Reviews

    AML Testing

    Rule 3120 Testing

    Training

    Consulting

    Gap Analysis

Case Study: Emerging Adviser Registration to Examination

Client: Emerging RIA

Challenge: The firm needed to register with the SEC and build a compliance program strong enough to successfully navigate a new adviser examination.

Solution: Regent guided the registration process, designed a scalable compliance program that met the need of an emerging adviser and withstood SEC exam scrutiny.

Outcome: The firm successfully registered, launched operations, and completed its new adviser SEC exam without findings, establishing credibility with regulators and clients from day one.