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Sound Compliance Services


Company info:

Top Executive: Peter Mafteiu
253-514-8898
6910 Cascade Ave
Gig Harbor, WA 98335

RIA department info:

253-514-8898

Etcetera:

  • Founded in 2009

Related listings:

Sound Compliance Services
filed under: Specialized Breakaway Service, Regulatory Consultant, RIA Set-up Firm, Consulting Firm, Compliance Expert


Related articles:

Peter Mafteiu: This is like overwhelming a reader ... so they really cannot map out the changes that might affect a particular customer.

Schwab will take a machete to Schwab Private Client hyper-fee fund holdings but still steer assets to high-margin OneSource, ADV says

The cost-slashing by the $65-billion AUM San Francisco RIA is meant to streamline and improve process, according to the company
Bernie Clark: We have been working closely with advisor groups over the past year to shape our offer.

Schwab makes thousands of its RIAs subject to fee for robo-software, allocation of client cash to Schwab Bank

The San Francisco firm told RIAs on a webcast that their firms must have $100 million on account or pay for robo-software
Adam Nash's blog broadside features a photo of Chuck Schwab from his company's 'David' days of taking on the Merrill Lynch 'Goliath'

Adam Nash makes direct 'CEO-to-CEO' plea to Schwab to rethink its robo

In a blistering blog entry, the Wealthfront chief executive expresses outrage at the Schwab robo's ADV contents -- and gets an earful back from the San Francisco giant
Lockdown in Washington may mean a short reprieve for advisors in the midst of exams, but the looming shutdown portends nothing good for the industry in general, say lawyers

Government shutdown may wallop SEC to the long-term detriment of RIAs

Audits on hiatus; fraudsters get more of a lead; most of the SEC on skeleton staff

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