Registered Investment Advisor Compliance Focus1associates .pdf
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OUR SPECIALIZE AREAS
Annual Compliance Review
Mock SEC Examinations
Third-Party Compliance Reviews
New Adviser Setup
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
835 Alder Creek Drive, Suite A
Medford, Oregon 97504
P.O. Box 148
TEL: (541) 201-2001
FAX: (541) 201-2002