START YOUR OWN HYBRID RIA
In the current market environment, it is critical to have the flexibility and true independence of your own RIA in order to compete for top clients and recruits. If you do not have your own RIA, you are working to build an advisory practice for someone else or so it may seem to the public. You might even be considered an employee that is limited to a corporate agenda and restrictions. True independence requires but is not limited to:
Our services include everything required to a registered and operational investment adviser, which includes:
Why Taurus Compliance?
At Taurus, we can offer you a team of highly-trained and dedicated professionals. Read more >>
For more information on how Taurus can partner with you, call us at 1-888-963-9519.
Why Outsource Compliance?
Outsourcing to a Securities Compliance Consultant is a tried-and-test model.
Our services are designed to continue after the registration is complete to allow you to operate with the confidence that your compliance obligations are being address. Such services include:
Taurus is the right partner because the firm understands the importance of ownership and individual control. Taurus is managed and operated directly by the founder, who has practical industry experience as a regulator and a chief compliance officer. He also has a broad network of resources he can leverage and or engage as needed without the high costs of employees and unnecessary operating overhead. Taurus is a small entrepreneurial business focused on client satisfaction by offering quality services at a competitive price, just like the clients we serve.
Our approach is to leverage the resources available through your RIA and broker/dealer to facilitate a smooth registration experience. We understand the registration process from a regulatory perspective as well as the internal “behind-the-scenes” requirements. Taurus is your partner and we focus on our role and minimize the time requirements for our clients. For example, we do not ask clients to prepare a worksheet or draft documents for our review. Instead we learn about your firm based on an interview style approach where we discuss the firm’s practice objectives and goals. Once we gather the information needed, we will create your disclosure documents, forms and manuals. Nothing is filed without your review and approval. Compliance can be complicated but with the right partner it can be simplified to focus on the risks that matter, with technology solutions and experienced consultation