Thought Leadership


Impacting Our Community

Giving back to our communities has always been at the heart of RegComp Financial’s people –coming to life through our charitable mission of, “Unwavering Service to our Community.” We are committed to promoting the growth of small businesses within our communities, the revitalization of local neighborhoods, and the financial literacy and well-being of residents.

Delivering exceptional results.

Our clients rely on our premier expertise, deep industry knowledge, and unparalleled responsiveness on complex compliance regulatory topics. Simply put, we deliver timely results that significantly benefit our client’s business.

We monitor developments in regulatory and compliance matters offering services to the following:

Investment Advisers

Our clients span asset managers, private equity and venture capital fund managers, hedge funds, and other investment alternative structures. From Form ADV assistance, Form D filings, 206(4)-7 Annual Compliance Reviews to SEC examination support, let us remove the burden.

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Broker Dealers

Whether you are starting a new broker dealer or require existing compliance support, we offer regulatory, compliance and accounting expertise. From FINRA examination support, Form U4, U5 Form CRS filings, to Rule 3130 Annual Compliance Reviews, let us remove the burden.

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Family Offices

RegComp has a dedicated team that services the specific needs of Family Offices. We offer a specific approach to the maintenance of a smart family office infrastructure. From Single Family Office (SFO), to Multifamily Office (MFO), and Corporate Family Office (CFO) we develop customized outsourced solutions for you.

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CFO and Controllers

We are focused on assisting with accounting, net capital monitoring and reporting of regulatory filings for registered broker dealers. We assist firms with everything from reviewing current accounting practices to Net Capital compliance and monthly and/or quarterly FOCUS Reports, as required.

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