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Registered Investment Advisor Compliance Focus1associates .pdf


Original filename: Registered Investment Advisor Compliance - Focus1associates.pdf
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BENEFITS

OUR SPECIALIZE AREAS



Practical Compliance



Annual Compliance Review



Scalable Services



Mock SEC Examinations



Unlimited Consulting



Third-Party Compliance Reviews



Tangible Resources



New Adviser Setup



Expansive Knowledge



Compliance Training



Industry-Wide Perspective



Rapid Responses



Team Approach



Organization & Documentation

Our services are tailored to meet your specific needs
and are built on a quality control process that affords
complete confidence in your compliance program.
Focus 1 Associates LLC

Focus 1 Associates LLC is a premier provider of regulatory SEC compliance, RIA compliance services and more. We
specialize in assisting registered investment advisers, private funds, and hedge funds with their compliance needs
under Rule 206(4)-7 of the Investment Advisers Act of 1940.
We get to know your business so that we can provide practical, relevant advice to fulfill your obligation on registered
investment advisor compliance by simplifying your SEC or RIA compliance efforts while meeting all of your regulatory
requirements.

835 Alder Creek Drive, Suite A
Medford, Oregon 97504
P.O. Box 148
TEL: (541) 201-2001
FAX: (541) 201-2002
toby@focus1associates.com


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