sponsored by:

Advanced Regulatory Compliance, Inc.


Company info:

Top Executive: Patrick J. Burns, Jr., J.D.
http://www.advreg.com
310-275-7300
415 N. Camden Drive #223
Beverly Hills, CA 90210

RIA department info:

Contact: Patrick J. Burns, Jr., J.D.
310-275-7300

Etcetera:

  • Founded in 2004

Q&A:

What is the service or product you offer to RIAs?

RIA registration, plain English Form ADVs, mock audits and ongoing compliance support.

How do you differentiate your offering from competitors?

We offer highly personalized compliance support to existing RIAs and work in conjunction with our affiliate, The Law Offices of Patrick J. Burns, Jr., P.C. (“PJB Law”). PJB Law is dedicated to helping wire house advisors safely transition to independence.


Related listings:

The Law Offices of Patrick J. Burns, Jr., P.C.
filed under: Attorney, RIA Set-up Firm, Specialized Breakaway Service

Advanced Regulatory Compliance, Inc.
filed under: Regulatory Consultant, RIA Set-up Firm, Compliance Expert


Related articles:

Patrick Burns: The shift was sudden.

Backs to the wall, wirehouses renew legal efforts to stem team breakaways -- with junior partners sparking the tension

Lawsuits by Merrill, UBS, Morgan Stanley have been spiking in recent months, according to industry observers and lawyers, and it can take precious time and big money to make them go away
Ray Lucia: I'm pretty depressed that the government has such disdain for successful people and will stop at nothing to destroy them.

Why RIAs need to pay heed to a ruling that put a media star and advisor out of business -- and out $300,000

A judge ruled that Ray Lucia lacked the back-up to justify his hypothetical back-tests as the SEC pins a bull's eye on the strategy
Patrick Burns: Is there really that much of difference between their branch manager's encouraging them to join a new firm versus a recruiter at a Protocol member firm's doing the same?

Why MSSB's legal hardball in Idaho could bring overdue change to the Broker Protocol

As the Broker Protocol nears its 10th birthday, the author argues that branch managers who jump ship and then recruit others deserve legal cover
Pat Burns: FINRA has been in the red financially and the addition of thousands of new member firms with their membership fees would certainly be helpful to its bottom line.

FINRA is making dog whistle comments hinting its SRO ambitions still simmer

'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk
Patrick Burns: By opening the door for RIAs to have their arbitration cases held before a FINRA arbitration panel, it seems that FINRA has taken another step in its quest to become the SRO for RIAs.

Analysis: Beware of a FINRA bearing gifts for RIAs

The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them
Pat Burns: Maxine Waters (D-CA) said that she was putting together her own legislation that would center around user-fees.

Cheat sheet on Wednesday's Bachus fracas

Not all Republicans were thrilled with the plan that would make FINRA king
Matthew Hutcheson testified in Congress about 401(k) plans and now the DOL is breathing down his neck.

What to make of a fiduciary flag-bearer's alleged misappropriation of $5 million from clients -- and his denial of the charges

Arrest of Matthew Hutcheson raises questions about the fiduciary movement
Glenn Neasham: I didn't do anything wrong.

How Glenn Neasham lost his house, was forced to go on food stamps and faces jail time after selling a senior an indexed annuity

The case of this Lake County, Calif. insurance agent gives pause to advisors and agents dealing with seniors -- and indexed annuities
Brian Hamburger: If anything it's sending the message that the SEC is not putting a high price tag on the cost of maintaining an ongoing compliance program.

How much should RIAs shake in their boots after the SEC punished three firms then put out a detailed press release?

Did the embattled agency go too far -- or not far enough?
Commonwealth's Todd Estabrook: “This is one of the things that are really important. We believe it’s important to be part of an integrated marketing strategy.”

Cambridge, Commonwealth vault advisors into social media; the boost is mostly free, for now

Will partnerships with, respectively, Socialware and Erado, translate into elusive growth-via-networking?
Thomas B. Lewis: A new protocol might exclude non-wirehouses.

Broker Protocol signings regain momentum amid new signs that the wirehouses could shut the breakaway portal

Uneasiness over garden leave at BoA; is it s harbinger of a crackdown or an isolated event?
LInda Cena: Michigan's top RIA regulator, says one advisor recently told her, "Unless we have a direct connection with God, we’re not going to complete all the ADV forms."

(Updated) RIAs stumble at ADV form goal line

SEC's still mum about what will happen to procrastinators; states adopting laidback approach
Tejal and Rahul Shah: I was on the phone like Jerry Maguire, Rahul says, I had all my e-mails prepared for clients and I pushed send, send, send.

Why one Merrill Lynch advisor needed to break away twice to become an RIA

Rahul Shah's first breakout attempt to Wachovia's FiNet fizzled and, his wife, Tejal Shah masterminded the second effort
Colin Powell mentioned RIAs by name in his speech, showing a familiarity with the business that's has been uncommon among outsiders.

TD Ameritrade's conference gives rise to 9 reasons for optimism about the RIA business

The industry is advancing across a wide swath; one sign is TD's self-assessment
Shirl Penney: We are very satisfied with the terms of the agreement.

Dynasty Financial Partners ends legal squabble with Bank of America, clearing deck for growth

The high-profile startup may have passed up chance to win its case, an attorney says
Bank of America is trying to stop a giant private banker from waltzing away with $5.9 billion.

Bank of America throws a legal wrench at big wealth management start-up

U.S. Trust breakaway team headed by Mike Brown says it followed Protocol as it seeks quick transfer of $5.9 billion of assets
Marc Thomas: The former Schwab investment consultant joined the Protocol to lay the groundwork for recruiting to his startup RIA.

Broker Protocol growth slowing; is the list reaching critical mass?

Fewer wirehouse brokers are fleeing for their own firms, but recruitment-minded RIAs are still joining the list
Patrick Burns: You want your full book protected -- not half your book

An ex-wirehouse broker and a regulatory lawyer divulge breakaway insights at TD Ameritrade conference

Burns recommends to TD breakaway prospects that they resist discussing with clients the reasons they broke away
Patrick J. Burns: I'm not sure the SEC or FINRA has the stomach for a return to the days of heavy litigation.

Broker protocol may be endangered by complexities as membership starts to explode

Merrill Lynch, LPL and Ameriprise create addendums to once-sacred truce; they may spark an unfavorable trend

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