Compliance Resource Partners ("CRP") assists investment advisory firms in being in compliance with the Investment Advisers Act of 1940 and broker-dealers in compliance with the Exchange Act of 1934. CRP assists investment advisers and broker-dealers in becoming investment advisers with the SEC and broker/dealers with FINRA. CRP performs SEC mock audits, annual compliance reviews and branch office audits. CRP prepares financials and FOCUS Reports for broker-dealers and performs independent Anti-Money Laundering reviews. CRP assists investment advisers and broker-dealers in obtaining state registrations, prepares written policies and procedures manuals, continuing education training plans, conducts annual compliance meetings and annual compliance oversight. CRP also assists investment advisers in writing and ensuring compliance with the Part 2A and 2B of Form ADV and various client agreements.
View Top Employees from Compliance Resource PartnersWebsite | http://www.thecomplianceresource.com |
Revenue | $3 million |
Employees | 1 (1 on RocketReach) |
Founded | 1988 |
Address | 1745 Shea Center Dr Ste 400, Highlands Ranch, Colorado 80129, US |
Phone | (303) 797-0550 |
Fax | (303) 797-0436 |
Technologies |
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Industry | Financial Services, Finance General, Finance |
Competitors | Compliance Advisor Professionals, Compliance Consultant, Fiduciary Compliance Associates LLC, SEC Compliance Consultants, Inc. (SEC3), Securities Compliance Advisors |
SIC | SIC Code 62 Companies, SIC Code 621 Companies |
NAICS | NAICS Code 5239 Companies, NAICS Code 52 Companies, NAICS Code 523 Companies |
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The Compliance Resource Partners annual revenue was $3 million in 2024.
1 people are employed at Compliance Resource Partners.
Compliance Resource Partners is based in Highlands Ranch, Colorado.
The NAICS codes for Compliance Resource Partners are [5239, 52, 523].
The SIC codes for Compliance Resource Partners are [62, 621].