If you are the Owner, CEO, President, Chief Compliance Officer - even the person in charge of marketing - you have a burden to comply with the securities laws. The Consortium will lift that burden off your shoulders. The Consortium offers comprehensive services and solutions to Registered Investment Advisors ("RIAs") and Broker/Dealers ("BDs"). Financial services firms are subject to federal (SEC), state, and self-regulatory organization (FINRA) securities regulations. Protect your license and reputation - avoid compliance deficiencies - steer clear of regulatory fines. We work with you offering hands-on consulting, or you can select from a menu of easy-to-use do-it-yourself compliance tools. Clients include investment managers (money managers, portfolio managers), financial planners, wealth managers, investment advisors, and broker/dealers.