who we serve > Registered Investment Advisers
Registered Investment Advisers
DFP Partners offers wide-ranging compliance solutions to investment advisers including:
FinOp
DFP Partners is a CPA firm that files all requlatory reports and oversees the Net Capital requirements for your broker-dealer. Every broker-dealer is required to maintain the services of a FINRA Series 27 Financial and Operations Principal (FinOp).
Regulatory Services
DFP Partners Regulatory Services, LLC provides full-service compliance consulting to broker-dealers seeking FINRA membership application services, ongoing regulatory compliance, consulting and support. With decades of experience, we can also act as your designated Chief Compliance Officer.
Anti-Money Laundering Programs
Your broker-dealer can also benefit from our independent testing of your Anti-Money Laundering (AML) programs. Our testing professionals are Certified AML Specialists (CAMS) and members of the Association of Certified Anti-Money Laundering Specialists (ACAMS).
Cybersecurity
FINRA continues to highlight cybersecurity as a top compliance risk to broker-dealers. DFP Partners will help you manage your cybersecurity policies and procedures and administer training to your firm.
We offer these services to firms like:
- Broker-Dealers
- Futures Commission Merchants
- Private Funds
- Registered Investment Advisers
- New Business Ventures
- Technology Firms