Preparing for Your Form ADV Part 1 Annual Amendment
Helpful hints for some tricky sections of the ADV Part 1.
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Customized Compliance Solutions
for Registered Investment Advisers
We are a boutique compliance consulting firm that specializes in working with mid- to small-sized
registered investment advisers registered with the SEC or state regulatory agencies.
Your business isn't one-size-fits-all, and your compliance program shouldn't be either.
Instead of an off-the-shelf cookie-cutter compliance service that might not fit your business model,
we offer customized compliance services that are designed to meet your specific needs.
Our goal is to provide tailored solutions that address the applicable regulatory requirements and compliance risks, while streamlining processes to make your compliance easier to manage,
so that you can get back to the business of serving your clients.
We recognize that small businesses have limited budgets and resources.
We also recognize that many advisers are comfortable compliance do-it-yourselfers
who may only need occasional guidance or support.
Our consulting services are offered on an hourly basis,
with no retainers, ongoing subscriptions, or minimum fees.
This allows you the flexibility to decide what you want to outsource,
and greater control in managing your compliance budget.
Why Adroit?
The word "adroit" means skillful, resourceful, and agile, which is how Adroit strives to serve its clients: being skillful in delivering services, resourceful in developing solutions, and agile in addressing your needs. The word is derived from the French phrase "à droite," literally meaning "to the right," but the word can be used to infer doing things fairly and justly. Adroit's goal is to always treat clients with fairness and integrity.
Services
Whether you're just getting started with your advisory business, or your firm is well-established,
or you're somewhere in between, Adroit can provide the compliance services you need.
Here's a sampling of our services to give you an idea of where we might be able to help you.
Registration Filings
Navigating the various regulatory filings can sometimes be cumbersome and time-consuming. However, it is important that filings be completed correctly, accurately, and timely. Adroit can provide assistance in preparing, reviewing, and updating your various regulatory filings, whether it's for your initial registration or for subsequent amendments.
Inform and Educate
Compliance topics can be complex, and the regulatory environment is often shifting. We love to help educate our clients on compliance topics, and can provide advice on how to manage your practice within the regulatory boundaries. We provide updates and rules and regulations change, and can help you update your internal policies and procedures to adapt to regulatory changes.
Policies and Procedures
Investment advisers are required to have comprehensive written policies and procedures that are designed to uphold their fiduciary duty, address risks, and meet regulatory requirements. Adroit can help you prepare, review, and update your policies and procedures, and make sure that they are appropriate for your business model.
Additional Support
Whether you outsource your entire compliance program or whether you feel confident managing it all yourself, sometimes you just need a little extra support to get advice or to assist with special projects. Adroit is available to help you with any one-time or ongoing support you may need, such as assistance with regulatory exams, consulting on new products or services, or providing information on new rules and regulations.
Where Our Clients Are Located
We provide our services virtually and work with both SEC- and state-registered advisers located throughout the United States. We are centrally located in Northern Illinois, so we easily can accommodate the schedules of East Coast, West Coast, and everywhere in between.
Currently, we serve advisers with offices located in more than 30 states, highlighted in green below. We are comfortable working with both federal and state regulators in any jurisdiction.
Our Team
Adroit Compliance is a boutique firm operated by a husband and wife team working together to provide high-quality services to our clients. We are both partners professionally and partners in life.
Rita Rhodes
Compliance
Consultant
Managing
Member
With more than 20 years of experience in regulatory compliance, Rita has extensive knowledge of the rules and regulations that govern the financial industry and has worked with a variety of business models. Before founding Adroit Compliance in 2016, she previously held the position of CCO-North America at Morningstar in Chicago, as well as CCO of an investment adviser in Wisconsin.
In her spare time, Rita enjoys taking long walks, bread making, and trying her hand at various crafts. She also enjoys spending time in her garden in the summer months.
Neal Rhodes
Director of
Operations
Managing
Member
After a lengthy career as an Electrical Engineer specializing in Product Development, Neal left the corporate world in 2022 and joined Rita to help manage the administrative and operational aspects of Adroit Compliance, freeing up her time to assist more clients. His attention to detail and thorough analysis are instrumental to keeping the business humming. He also serves as an excellent sounding board for ideas.
In his spare time, Neal is an avid cyclist. In colder months, he spends his time puttering on various projects in his basement workshop and working on HOn3 model trains.
Adroit Compliance is pleased to announce that we have partnered with Complect to provide a customized compliance management platform for our clients. Complect is a web-based solution providing registered investment advisers with essential tools for a robust, collaborative compliance program in an easy-to-maintain environment. The Complect platform:
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Serves as a centralized repository for compliance policies, documentation, and task management.
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Provides Adroit with visibility into your progress in maintaining your compliance program.
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Offers additional optional subscription levels that include internal reviews, forms, attestations, and more.
Clients of Adroit receive preferred pricing, customized features, and priority support with Complect.
This partnership offers competitive value in right-sized compliance services for mid- and small-sized advisory firms in a constantly-evolving regulatory landscape. "Right-sized" means thorough and robust enough to keep you in compliance without saddling you with overbuilt, complex procedures and systems designed for larger firms with full-time compliance staff.
Visit the Complect website for additional information, or ask us about how we can help you set up your compliance program on the platform.
Contact
2202 Primrose Trail
Rockford, IL 61108-8151
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