The Consortium – Lifting the burden of compliance & compliance off your shoulders

If you are the Owner, CEO, President, Chief Compliance Officer – even the person in charge of marketing – you have a burden to comply with the securities' laws. The Consortium will lift that burden off your shoulders.

The Consortium offers comprehensive services and solutions to Registered Investment Advisors ("RIAs") and Broker/Dealers ("BDs"). Financial services firms are subject to federal (SEC), state, and self-regulatory organization (FINRA) securities regulations.

Clients include investment managers (money managers, portfolio managers), financial planners, wealth managers, investment advisors, and broker/dealers.

When you engage The Consortium, you are tapping into the community of services and resources brought to you through the expertise of John Carr, Lisanne Butterfield, and Todd Sakoda. This consortium brings together a body of knowledge of compliance, practice management, business development, and marketing through years of industry and hands-on experience.