A trusted partner in navigating the regulatory landscape

COMPLIANCE SOLUTIONS

DRIVEN BY REAL WORLD EXPERIENCE
CREATE

Fixed fee registration services for either state or federal RIAs.   

MAINTAIN

Customizable packages to help your firm stay compliant.

 

ASSESS

Comprehensive mock audits and reviews to triage the current needs of your firm.

 

Contact us:

Mailing Address

660 Newtown Yardley Road
Suite 105
Newtown, PA 18940

 

Phone: (646) 395-3900

Email: info@swayzellc.com

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