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Customized Compliance Solutions ​​for Registered Investment Advisers

Adroit Compliance, LLC™ is 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.

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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.

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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.

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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.

Our 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.

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.

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.

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.

Our Team

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.

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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 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.

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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.

Bailey Drake

Compliance Consultant


Bailey has worked in diverse roles in several Chicago financial firms. One thing that she enjoyed about all of her positions was learning more about the compliance rules. Now, she has launched her own compliance consulting firm, Bloom Compliance Consulting. Through Bloom, she provides consulting services to Adroit as an independent contractor.

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In her spare time, Bailey can be found reading, collecting a variety of plants and cats, or traveling with her husband. In the summer months, she enjoys gardening and restoring her yard to native prairie.

Testimonials


Adroit Compliance is simply the best! I would recommend them to any RIA interested in outsourcing and upgrading their compliance program. -- CK, Wisconsin

Rita has helped me revamp my compliance program. Its tough being a small firm and Rita is the perfect person to help your firm stay compliant! -- EG, New Jersey


Rita is amazing! Once I launched my firm, I was lost as to what I actually needed to be doing going forward to maintain compliance in multiple states. Rita created a compliance calendar tailored to my firm that I was able to set up in my own system, so I didn't feel lost. This was a game changer. Any time I have a question around compliance, Rita is there to help. -- EA, Wisconsin
We have worked with Adroit for a couple of years now and couldn't be happier! Rita is very accessible, knowledgeable and open to working through new concepts with us. She explains things to our team in a manner that is easy to understand. -- SM, Illinois