Financial Services Regulatory Compliance - Consulting and Resources for Advisors
Nancy Lininger
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Nancy Lininger
Nancy Lininger
Nancy Lininger


While you are protecting your clients' assets, who is watching your back? You have a valuable reputation to protect. You don't want to risk your good name by inadvertently running afoul with the maze of securities regulations.
Managing a financial services firm is very exhilarating, but not an easy task. Your company faces two tough problems - how to market your services effectively, and how to comply with the maze of securities regulations. Can both be accomplished harmoniously? That is the challenge that The Consortium has worked on and solved with companies like yours.
Our team of "Professional Weightlifters" will lift the burden of compliance and marketing off your shoulders.
The perfect assignment is of an on-going relationship to solve multiple specific problems facing Registered Investment Advisors and Broker/Dealers. We work on an annual retainer basis with select clientele providing personal hands-on attention. The fee is custom quoted based on size and other factors (minimum $1,200/month with a 12 month commitment) for unlimited consultations. Our comprehensive approach covers compliance, practice management, and marketing. We will help you to both meet your regulatory requirements and to market yourself.
As a core client you will receive:

  • Research. Your questions are our business. If we don't know the answer, we will find it for you. We will dig through the rules and regulations and call the regulators.
  • Guidance and support. We focus on helping you understand your compliance responsibilities. We are proactive in our approach to keep you in compliance. We let you know when the regulations change and when you have filing deadlines. We brainstorm with you to find the compliance, practice management, and marketing solutions that fit your style.
  • Compliance training. We train new compliance officers to master the laws, regulations, and responsibilities of compliance. We work with other key staff to provide appropriate compliance knowledge.
  • RIA comprehensive document preparation. Whether turn-key start-up, review of existing documents, or complete rewrite, we help you craft the language for all your regulatory documents (Form ADV, Client Advisory Agreement, Solicitors Agreement, Policies & Procedures, Code of Ethics, and more). We provide support for your IARD/CRD filings. Form ADV software makes your document easy to update. State registrations or notice filings are prepared for you.
  • Marketing solutions. If you are working on your PR brochure, website, or client correspondence, we can help you craft language that strikes the winning balance for a successful marketing campaign and complies with the securities regulations. If you are creating or updating your marketing plan, we will brainstorm with you.
  • Unlimited telephone and e-mail direct access. You are not on the clock under the retainer services. All your questions are answered and problems solved by phone or e-mail. We are trusted team members, working hand-in-hand with you. We limit the number of clients on retainer to provide quality service.
  • Access to all of our compliance resources, including the CompliancE-News, ComplianceE-Alert, Forms and Research Library, and more. If a form you need is not currently accessible in the Library, we will create a new form for you.
  • Mock audit. As an optional add-on service to the base retainer services, you can have an on-site review of your operations before the real auditors show up.

The Consortium
5285 Meadows Road, Ste 199
Lake Oswego, OR 97035
(971) 801-1346

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