STP’s Compliance Experts Help You Fulfill Your Regulatory Obligations
Compliance Services Tailored to Your Firm’s Needs
Our investment advisor compliance services, ComplianceAdvisor, are designed to support state or SEC-registered investment advisors in fulfilling their regulatory obligations with ease and confidence. While every firm is required to meet specific regulatory standards, we understand that each firm has its own unique compliance needs. That’s why we offer customizable solutions, allowing us to tailor our services to match your firm’s specific requirements. Whether you’re a small boutique advisory firm or a large-scale wealth management organization, our flexible compliance programs ensure that you receive the right level of support, whether you need foundational assistance or comprehensive, hands-on management.
Our ComplianceAdvisor solutions cover a wide range of compliance requirements and are structured to streamline your regulatory responsibilities.
Our solutions include:
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Form ADV & Form PF: We assist with the preparation and filing of Form ADV, which includes the required disclosures about your business, practices, and conflicts of interest. Additionally, we provide support for Form PF filings to help private fund advisers meet reporting requirements to the SEC.
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Form 13 Filings: Our team ensures that your firm complies with the SEC’s Form 13 filing requirements, including timely submission of 13F and 13D forms, essential for advisers managing large amounts of securities.
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Performance Advertising Disclosures: We help you navigate the complexities of performance advertising, ensuring that your firm adheres to SEC guidelines for advertising investment performance, ensuring transparency and accuracy in client communications.
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Compliance Policies: We assist with the creation, review, and updating of your compliance policies, ensuring they align with regulatory requirements and best practices in the industry.
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Exams and Compliance Reviews: Our expert team conducts thorough compliance reviews and mock SEC exams to help you assess the effectiveness of your internal controls and practices, identifying potential risks and areas for improvement before an actual regulatory examination.
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Outsourced Compliance Functions: For firms needing more extensive support, we offer outsourced compliance services, including the option to fully manage your compliance functions or take on specific roles such as the Chief Compliance Officer (CCO).
With ComplianceAdvisor, your firm can ensure that you remain in full compliance with regulatory standards while focusing on your core business activities. Let us provide the expertise and support you need to navigate the ever-changing regulatory landscape effectively.
The Biggest Compliance Traps That You Don’t Even Know Are Happening at Your Firm
In today's regulatory environment, Chief Compliance Officers (CCOs) face significant challenges. From AI adoption to off-channel communications and the complexities of the new Marketing Rule, the risks are real and the costs of non-compliance are steep.
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FAQs
Outsourced Chief Compliance Officer (CCO) services allow investment advisers to delegate ongoing compliance management to experienced external professionals. This approach ensures regulatory alignment without the cost of maintaining a full-time CCO.
STP’s ComplianceAdvisor program offers scalable outsourced CCO solutions tailored for RIAs, hedge funds, and private equity firms. Clients benefit from continuous oversight, annual testing, and customized compliance policies aligned with SEC and state regulations. This structure helps smaller and mid-sized firms strengthen their compliance posture while staying focused on growth.
STP conducts comprehensive mock SEC exams and annual compliance reviews to assess a firm’s readiness before a regulator’s visit. Our specialists evaluate documentation, filings, employee training, and recordkeeping practices against the latest SEC standards. The findings inform an actionable roadmap that helps firms address deficiencies proactively. Through ComplianceAdvisor, clients receive detailed reports and support for 206(4)-7 annual testing requirements. These exercises ensure regulatory confidence and help prevent costly enforcement actions.
When launching or restructuring a compliance program, STP provides end-to-end assistance—from designing policies and procedures to implementing internal controls and risk management systems. Our consultants tailor frameworks to match each client’s business model, ensuring efficiency and scalability. The service includes drafting written supervisory procedures (WSPs), developing compliance calendars, and conducting staff training. With ComplianceAdvisor, clients gain an integrated, technology-enabled compliance infrastructure that reduces manual processes. This approach empowers firms to meet evolving SEC and state RIA compliance standards seamlessly.
STP helps registered investment advisers (RIAs) create customized, regulator-ready compliance manuals and procedure guides that reflect their operational realities. These policies cover everything from advertising reviews and trade monitoring to personal trading and cybersecurity. Our experienced compliance team ensures that each document aligns with SEC expectations under the Investment Advisers Act of 1940. As part of the ComplianceAdvisor suite, we also update and test these policies annually to account for regulatory changes. This proactive approach minimizes risk and strengthens an RIA’s culture of compliance.
Post-trade compliance ensures that all trades executed by investment managers adhere to pre-set restrictions, investment guidelines, and regulatory requirements. STP’s Post-Trade Compliance Reviews automatically validate trade data using the client’s technology. We identify breaches, exceptions, or potential issues in near real time and escalate findings for remediation. This process protects both the adviser and investor by maintaining transparency and control.
Navigating the complex landscape of SEC and state registration can be daunting for new or expanding advisory firms. STP simplifies this process by managing every stage—from Form ADV filings to disclosure documentation and organizational setup. Through ComplianceAdvisor, our team ensures accuracy, timely submission, and ongoing amendment tracking. We also provide guidance on registration thresholds and multi-state coordination to maintain continuous compliance. This hands-on support gives firms confidence as they transition into regulated advisory status.
STP specializes in scalable compliance frameworks designed for emerging and boutique RIAs that need flexibility without compromising rigor. We understand that growing firms require dynamic programs that evolve with new AUM, clients, and strategies. Our ComplianceAdvisor offering let’s firms select services à la carte—from outsourced CCO oversight and mock exams to gap assessments and training. Every engagement is built around the firm’s size, structure, and goals. The result is a cost-efficient compliance ecosystem that strengthens credibility and readiness for growth.
With the SEC’s Marketing Rule (206(4)-1) reshaping adviser advertising standards, wealth managers face new scrutiny over performance claims and testimonials. STP assists clients in reviewing and pre-approving all marketing materials, ensuring they meet both the letter and spirit of current regulations. Our compliance professionals collaborate with your marketing and PR teams to align content with regulatory expectations. This process reduces the risk of enforcement while preserving creative freedom. It’s a proactive solution that blends marketing innovation with compliance assurance.
Combining middle-office outsourcing with compliance oversight creates a more integrated, transparent operational framework. STP’s model connects transaction processing, trade reconciliation, and regulatory reporting under a single system. This integration reduces data silos, minimizes manual errors, and improves reporting accuracy. By linking operational data directly to compliance systems via BluePrint, clients gain real-time insights into risk exposure and control performance. The result is a streamlined, compliant, and scalable infrastructure that supports long-term growth.
Our outsourced CCO model provides firms with senior-level compliance leadership, regulatory expertise, and ongoing program oversight without the cost and complexity of building a full in-house team. Acting as your CCO, we take responsibility for developing and maintaining your compliance program, executing required reviews and testing, managing regulatory filings, overseeing electronic communications and marketing materials, and serving as the primary point of contact during examinations.
For firms that already have internal compliance leadership, we can also serve as a Deputy CCO, providing added capacity, specialized expertise, and coverage for overflow work, regulatory change management, or temporary leadership gaps. Our model is flexible, scalable, and designed to integrate seamlessly into your operations—ensuring your compliance program remains current, defensible, and exam-ready at all times.
