Our Clients

Over 130 clients served since 2011

Our Clients are registered investment advisors:

  • Boutique Firms
  • Start-up Investment Advisors
  • State Registered Investment Advisors
  • SEC Registered Investment Advisors
  • Family Offices
  • Private Funds
  • Hedge Funds
  • Private Equity
  • Broker-Dealers*

Sample of Clients (nationwide):

  • State Registered Investment Advisor in Palo Alto
  • State Registered Investment Advisor in San Francisco
  • SEC Registered Investment Advisor in New York
  • State Registered Hedge Fund Research Advisor in San Francisco
  • State Registered advisor in Hawaii
  • SEC Registered Advisor in San Mateo
  • State Registered Advisor in Florida


“I can't say enough good things about Cory. He's done a great job fixing and maintaining our compliance issues. I highly recommend Cory!”

Scott Alan Schwartz, MBA, CFP, CIMA, AIF, Principal at IAM, Inc.

What we do

  • Filings for SEC-registered and state-registered firms.
  • Mock Audits, Quarterly and/or document reviews for firms.

  • FPA member - Attend continuing education and industry functions, etc.
  • Contact with state examiners and/or SEC on advisor issues.

Let us know how we can better serve you!

Past/Current Projects

  • ADV Part 1A, 1B, 2A, 2B Filings
  • ADV-W Filings
  • New Account Opening
  • Amendments/Renewals
  • U-4 Filing/Amendments
  • U-5 Filing
  • Setting up IARD/CRD E-Pay

  • Business Planning
  • Website Review
  • Overview of Advisory and Financial Planning Services
  • Business Planning
  • Advisor Platform Search
  • Succession Planning Advice
  • Advisor Services

Business Planning | Investment Advisors in San Francisco Bay Area