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# Arcturus Advisory: Your Compliance Archetype

 

Arcturus Advisory redefines 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 Advisory represents **reliability **and **a clear path forward.**

Let Arcturus handle Compliance so that you can focus on **what you do best** - serving your clients and building your business.

[Explore Our Solutions](https://askarcturus.com/services?hsLang=en)

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COMPLIANCE FOR RIAs

## Let Arcturus Design Your Compliance Archetype

### About Our Founder

With more than **20 years** of navigating the financial industry, 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 Advisory to provide RIAs and advisors with** expert compliance advice** that's precisely tailored to their **unique needs**.

### Mission

Arcturus empowers RIAs and advisors to ***navigate*** the complexities of regulatory compliance with ease. Provides guidance and solutions to ***mitigate risk, streamline processes, and alleviate compliance burdens.*** By taking compliance worries off your plate, Arcturus enables 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.**

### Why Arcturus

- Deep understanding of regulatory complexities
- Strong grasp of RIA operations and investment platform
- Comprehensive and tailored solutions
- Committed to delivering exceptional results
- Strong client relationships and dedicated support

[Why Arcturus](https://askarcturus.com/why-arcturus?hsLang=en)

COMPLIANCE FOR RIAs

## 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. 

[Learn More](https://askarcturus.com/services?hsLang=en)

### Compliance Strategy & Operational Excellence

### Compliance Strategy & Operational Excellence

Developing robust compliance framework and operational efficiency in response to evolving regulation and business growth. 

[Learn More](https://askarcturus.com/services?hsLang=en)

### Inquiries & Exams

### Inquiries & Exams

Comprehensive support. Ensuring you are fully prepared, organized, and responsive. Minimizing disruption and protecting your interests. Conducing mock exams, comprehensive and targeted. 

[Learn More](https://askarcturus.com/services?hsLang=en)

### M&A and Integrations

### M&A and Integrations

Working with buyers to evaluate compliance programs and investment & operational risks of target RIAs prior to a transaction as well as compliance consulting post-purchase. 

[Learn More](https://askarcturus.com/services?hsLang=en)

Thought Leadership

## Stay Up to Date on Compliance Guidance

#### Are you filing Form NPX?

Does your RIA need to file Form NPX? Form NPX had historically applied only to a registered...

[Learn More](https://askarcturus.com/insights/my-compliance-blog-post-0?hsLang=en)

#### Preparing for Artificial Intelligence (AI) Regulation: A Checklist for RIA Compliance Officers

Develop and Document Policies and Procedures: Establish clear policies regarding the use of AI...

[Learn More](https://askarcturus.com/insights/preparing-for-artificial-intelligence-ai-regulation-a-checklist-for-ria-compliance-officers?hsLang=en)

#### Starting from Scratch: RIA Compliance Program

Discover how to build a robust compliance program that aligns with current financial regulations,...

[Learn More](https://askarcturus.com/insights/starting-from-scratch-wealth-advisors-compliance-program-guide?hsLang=en)

Get in Touch

## Let's Connect

[Contact Us](https://askarcturus.com/contact-us?hsLang=en)

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