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About Us

Our Philosophy

Adroit Compliance was founded in 2016 to fill a specific need. We recognized that financial professionals often don't have the need or the resources to support a full-time compliance professional. And yet, it's difficult to manage day-to-day client workload and stay abreast of compliance requirements. Even if a firm has in-house compliance staff, additional support is needed occasionally to assist with regulatory exams or special projects. That's where we can help.


We differentiate ourselves by providing you with customized services, designed to give you what you want and what you need. We learn about you, your business model, your clients, your processes, and use that information to create solutions that fit, rather than trying to put you into a cookie-cutter template. We think creatively and collaborate with you to develop a compliance program that suits your business needs.

Often, our clients come to us after working with large compliance consulting firms or law firms who charged large fees but were short on service. Being a small business ourselves, we are cognizant of your budget constraints, and try to deliver services as efficiently as possible. We don't charge monthly retainers; we only charge hourly for the services we actually perform for you.

We chose Adroit as our name because it means skillful, resourceful, and agile, which is how we strive to serve our clients: being skillful in our services, resourceful in our solutions, and agile in how we address 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. Our goal is to always treat our clients with fairness and integrity.

Compliance is often viewed negatively in the financial industry, seen as a hindrance to business development or a way to catch someone in the act of wrongdoing. Our philosophy is that compliance is an integral part of your business. We serve as your partner to help enhance your business, to serve as a liaison between you and regulators, and to find ways to allow you to conduct business within the parameters of the applicable rules and regulations.