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Registered Investment Advisor

We distinguish the attributes of each client’s practice whether your business model is Wealth Management, Institutional, or Fund Manager (hedge or private equity). Our compliance assessment process is tailored to meet your compliance risks today and to prepare for your needs in the future. Your compliance program should be designed with scale in mind so as not to hold back the growth and aspirations of your vision.Click here for more information.

Broker- Dealer

As a senior member of the broker-dealer you are dependent upon your firm’s compliance operations. Our role is to Serve and Protect your interests – personal and professional. Just as FINRA acts as the Police for the SEC, RegMaven is to you. Our compliance programs are designed to be diligent, proactive, dependable and thoughtful to safe guard your reputation within your firm and in the industry.

Staying current with FINRA Regulations is challenging at best. Your supervisory procedures for each business line, each product offering and the business enterprise overall are quite extensive, add in the Consolidated Rule Book modifications and new rules, the maintenance of your manuals and procedures can be devastating to your compliance operation. Click here here for further information about our broker-dealer compliance services.

Financial Services Recruiting

The world of financial services is perpetual in change – compliance, sales, marketing, advisory, operations, finance, client service and product development to name a few. Your competitors are becoming more creative which creates a greater need for quality talent when expanding or filling an open position due to the loss of what might have been resourceful creative skill – snatched by a competitor.

Employment & Contract Recruiting:

Our broad industry knowledge, specifically with broker-dealer and registered investment advisor firms includes Chief Compliance Officers (CCO), CEO, COO, managers, and staff. Full-time, interim need or contract/project, our staff of consultants and network of professionals has a bench of resources to source the appropriate skills, knowledge and culture to meet your objectives and most importantly compliment and strengthen your existing team.

Financial Advisor Recruiting:

If you’re a broker-dealer, registered investment advisor or hybrid firm who is expanding or wishes to expand the financial advisor base RegMaven has the reach to assist in this effort. Whether your business model is full complement of wealth management, fee only, institutional trading or research, our recruiting and industry knowledge is a natural resource.  We can help identify the profile of your best fit advisors and source individuals and teams to meet your firm’s growth objectives.

Business Consulting – Enterprise Value Planning & Succession Planning

For many entrepreneurs business planning is a detailed process that in most cases will only sit on the shelf. The real plan is in the owner’s “head” and embedded in the firm’s culture – its drive and energy. Should a business plan be revisited occasionally? Sure, documenting and updating your vision and objectives will only support the expansion and growth of your company.

A business plan is memorializing your “idea”. Without an idea you really have nothing to build from. A business requires vision, skills, incentive, resource and action plan. Minus any of these and you could experience confusion, anxiety, frustration or a false start. How does your business operate today though? Do you know what functions your business relies on to be successful? Do your managers and staff know what operating functions the business relies to operate efficiently? Are these areas of function operating proficiently? Do you know how to improve performance of your team and the functions they are responsible for? If your firm is not operating at peak performance you will struggle in capturing maximum value. No longer are firms, specifically RIAs,and BDs being valued at a multiple of revenue. The trend today is more in line with cash flow and EBITDA. In this measurement having a high efficiency rating will result in a greater value and more potential buyers.
Click to take a quick review of the RegMaven Enterprise Valuation Assessment

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PO Box 115, Londonderry, NH 03053
(p) +1.603.965.7791
(f) +1.603.434.5899
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