The Regulatory and Compliance Consulting Firm: Advisor Guidance

Supporting the Needs of Many Since 2002

There might be many companies that offer consulting services for investment advisors but none can match up to the level of Advisor Guidance. It has seasoned veterans with decades of experience in senior management positions within the investment management industry. Its clients range from boutique wealth managers to institutional investment advisors, mutual funds, broker/dealers and service providers to the industry.

Advisor Guidance’s offices are located in the beautiful Seacoast area of New Castle, New Hampshire, approximately one hour north of Boston, Massachusetts and it provides services to both federal and state registered investment advisors across the United States and internationally. The team of investment management industry veterans can efficiently assess and analyze your needs and develop and implement practical, actionable solutions. Its leadership team has supported the needs and challenges of some of the most well-known investment management firms in the world.

RIA Consulting and Compliance

As you consider starting your new investment advisory business, Advisor Guidance’s RIA Consulting professionals are here to help you think through the important first steps of your business plan. It helps you by offering important information on how to build a successful investment advisory practice such as the choices of service providers, selection of custodians, what may be the best type of entity for your new business, what regulatory issues you need to consider for a particular state, whether a hybrid broker-dealer model is right for you, and much more.

The executive team has extensive financial services industry experience and would welcome the opportunity to help you get your new firm on the right course

If the on-going compliance requirement takes too long then you can directly contact Advisor Guidance to help you. Its experienced professionals will work with you to proactively help meet your on-going compliance needs.

Advisor Guidance offers the following On-going Compliance Services:

• Initial review of your Form ADV Part 1 with your Part 2 Brochure and Brochure Supplement, and Wrap Fee Brochure for consistency across the documents
• Initial review of your template Client Agreement for compliance with state and federal requirements
• Preparation of a Compliance Program including Written Supervisory Procedures, Code of Ethics, Privacy Policy, Massachusetts Identity Theft Program
• Preparation of Business Continuity Plan
• Preparation of Annual Updating Amendment for Form ADV Part 1
• Annual review and amending Form ADV Part 2A Brochure and 2B Brochure Supplements
• Annual review and amendment of your Investment Advisor Representatives’ Form U-4
• Proactively work with your firm through the Renewal Process for re-registration of the firm and your Investment Advisor Representatives for the upcoming year
• Provide a Risk Assessment document for assistance with your annual testing requirement of your Compliance Program
• Provide a Compliance Calendar for yearly compliance filing requirements
• Preparation and filing of your Investment Advisor Representatives’ Form U4 and U5
• Review of Marketing and Advertising materials, including websites
• Hourly consultation with its experienced professionals about other regulatory and compliance matters.
• Based upon your needs, Advisor Guidance can offer its on-going compliance services on either an hourly or retainer basis and the company wants you to ask it how this service can work for you.

The Person behind the Company’s Success

John Shields, CPA, Founder, and President:

John has over 44 years of asset management industry experience, with an emphasis on regulatory compliance issues. John’s regulatory compliance background includes 13 years of public accounting experience at Deloitte’s New York practice office and heading the investment management consulting practice of Navigant Consulting, a leading international forensic and litigation support consulting firm, during the implementation timeframe of Rules 206(4)-7 of the Investment Advisers Act and 38a-1 of the Investment Company Act which have imposed significant compliance requirements on the Investment Advisor and Investment Company industries. John’s experience includes CEO roles at two mutual fund complexes, and he led MetLife’s mutual fund distribution company. John also served as CEO of Registered Investment Advisor firms serving the needs of retail, institutional, and investment company clients. John currently serves on the Board of a mutual fund complex, and three technology companies.

“If you’re looking to register your investment advisory firm, need help managing your firm’s on-going compliance responsibilities, or you’re seeking a trusted advisor to help you grow your RIA firm, then all you have to do is get in touch with Advisor Guidance.”