Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
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RIA Compliance
We LOVE compliance. True West believes in a compliance program based on education, engagement and follow through. Oh, and we have fun while doing it.
Navigate Compliance with Confidence
At True West, we specialize in providing comprehensive compliance services tailored specifically for Registered Investment Advisers (RIAs). Understanding the complexities of regulatory requirements, we offer solutions that help you focus on what you do best—managing client investments while staying compliant with evolving regulations.
Our Compliance Services Include:
Regulatory Filings and Documentation
Stay ahead of the compliance curve with our expert handling of all necessary filings, from Form ADV updates to annual amendments and more.
Registration & Compliance Program Development
We develop and implement robust compliance programs designed to meet both SEC requirements and your firm's unique needs. This includes initial registration filing and approval with the SEC and creating customized policies and procedures that align with your business model.
Risk Assessment and Management
Identify and mitigate risks before they become issues with our comprehensive risk assessment services. We help pinpoint vulnerabilities and provide strategic solutions to strengthen your compliance posture.
Training, Education & Ongoing Support
Empower your team with knowledge on compliance through our training programs, while offering ongoing support and consultation to adapt to continuous changes and address any compliance concerns.
Customized Solutions
for Every RIA
Each RIA has unique needs, which is why our services are highly customizable. Whether you're a startup needing foundational compliance setup or an established firm looking to enhance your existing compliance framework, we tailor our services to meet your specific requirements.
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Compliance Service Levels
Base Support
Advisory Support
Includes everything from Base Support PLUS:
Operational Support
Includes everything from Base & Advisory Support PLUS:
Stay Compliant, Stay Ahead
Navigating the regulatory landscape doesn't have to be daunting. With True West’s compliance services, you can ensure your firm not only meets but exceeds regulatory expectations. Let us handle the complexities of compliance, so you can focus on growing your business and serving your clients.