Providence Compliance was founded on 18 years of hands-on experience across every facet of RIA compliance and regulation. Our approach is informed by a unique perspective that spans both sides of the regulatory landscape—as a former regulator with state agencies and FINRA, and as a compliance professional and consultant in the private sector.

Our Foundation

We understand the regulatory world from the inside out. Our background includes conducting compliance examinations, enforcing state and SEC regulations, and training examination staff. This regulatory expertise, combined with years of building and managing compliance programs in the private sector, gives us an invaluable advantage: we know what regulators look for and how advisory firms actually operate.

What Sets Us Apart

We bridge the gap between regulatory expectations and practical business operations. Our experience working with both new and established advisers has taught us that effective compliance must be tailored to each firm's unique business model, size, and growth trajectory. We don't believe in one-size-fits-all solutions.

How We Help

Whether you're launching a new RIA or enhancing an existing compliance program, we provide clear guidance grounded in real-world application. From regulatory filings and examination preparation to ongoing compliance support and staff training, we deliver practical solutions that protect your firm while supporting your business objectives.

Our Commitment

At Providence Compliance, we're dedicated to demystifying regulatory requirements and empowering investment advisers with the knowledge and tools they need to maintain robust compliance programs with confidence.