Arcturus Advisory: Your Compliance ARCetype

At Arcturus Advisory, we redefine RIA compliance with precision, expertise, and a proactive approach tailored to your firm's unique needs.

Named after the brightest star in the Northern sky, Arcturus represents leadership, reliability, and a clear path forward.

Let us handle Compliance so that you can focus on what you do best -- delivering world class service to your clients.

Let us design Your Compliance ARCetype.

Explore Our Solutions
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Let Us Design Your Compliance ARCetype

About Us

With more than 20 years of navigating the financial industry, our expertise runs deep. Arcturus' founder held multiple CCO positions and managed compliance programs for RIAs of all sizes, from $3 billion to $700 billion. This extensive experience allows Arcturus to provide RIAs and advisors with unparalleled, expert compliance advice that's precisely tailored to their unique needs.

Mission

Our mission is to empower RIAs and advisors to navigate the complexities of regulatory compliance with ease. We provide expert guidance and innovative solutions to mitigate risk, streamline processes, and alleviate compliance burdens. By taking compliance worries off your plate, we enable you to focus on what you do best: serving your clients and growing your business.

Vision

Empowering RIAs and advisors to achieve confidence in their compliance, through accessible, expert guidance – be it a one-time consultation or an ongoing partnership. We're the unwavering support, the brightest guiding star in the Northern sky. 

Why Arcturus

Unparalleled service and unmatched experience
Deep understanding of both regulatory complexities and the operational and business side of RIAs
Comprehensive and tailored solutions
Committed to delivering exceptional results and exceeding expectations through strong client relationships and dedicated support

Services

Day-to-Day Compliance

Day-to-Day Compliance

Compliance program design and implementation: Regulatory filings, Rule 206(4)-7 testing and reports, surveillance, Compliance Manual and compliance procedures. 

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Compliance Strategy & Operational Excellence

Compliance Strategy & Operational Excellence

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Inquiries & Exams

Inquiries & Exams

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Stay Up to Date on Compliance News

Starting from Scratch: Wealth Advisors Compliance Program Guide

Discover how to build a robust compliance program that aligns with current financial regulations,...
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Understanding Rule 206(4)-7: Reporting Requirements for Wealth Advisors

Dive into the complexities of Rule 206(4)-7 and discover how it shapes the reporting landscape for...
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Ensuring Compliance: The Vital Importance of Reliable Officers for Wealth Advisors

Discover why compliance officers are indispensable in maintaining the integrity and success of...
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