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.
Protect your license and reputation - avoid compliance deficiencies - steer clear of regulatory
fines. Our team will work with you offering hands-on consulting, or you can select from a menu of
easy-to-use do-it-yourself compliance tools.
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 goods brought to you through
the expertise of Nancy Lininger, John Carr, and Todd Sakoda. This consortium brings together the
body of knowledge of compliance, practice management, and marketing through years of industry
experience. Together, we have hands-on experience in sales, marketing, and compliance.
5285 Meadows Road, Ste 199
Lake Oswego, OR 97035
© 2009-2018 The Consortium. All rights reserved.