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.

 

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arcturus-constellation

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

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

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

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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. 

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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. 

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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...
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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...
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Starting from Scratch: RIA Compliance Program

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