Adherence, LLC Information

Adherence is a team of compliance, regulatory and operations experts, alumni of the biggest firms on the Street, who know the laws and regulations, the risks and threats firms are likely to encounter, and have negotiated successfully with every regulatory body. Adherence protects your hard-earned assets and reputation. Drawing on our in-house experience, we help you meet operational, legal, regulatory, supervisory and operational requirements imposed by the Investment Advisory Act Rules, the Investment Company Rules, and FINRA/SEC Regulations. We know the best practices because we’ve been legal, compliance and operational counselors to leading financial firms. We know the environment, the tolerances and the people who regulate financial services. Adherence offers first class, tailored, on-demand services to protect your assets and your reputation on an outsourced basis. You get veteran assistance, as you need it, at reasonable fees.