Big-firm rules.
No big-firm staff.
The SEC hands your firm the same Reg S-P, the same Marketing Rule, and the same exam letter it hands a firm with a compliance department and an IT floor. You get to handle it between client meetings. That's the problem this company exists to fix.
Small advisory firms carry a rulebook written for giants. I know, because I spent my career inside the giants, where whole teams exist for what the SEC expects. Your firm lives under the same rules with none of that staff, and the tech that has to make the compliance binder true belongs to nobody. It isn't fair, and nobody in that arrangement is going to fix it for you.
I'm Dustin Cole, a US Marine veteran from Oregon. I spent thirty years building and testing enterprise systems: Marine Corps personnel systems, Department of Defense disbursing and accounting, state budget tools, regional banking. The last thirteen were at Parametric Portfolio Associates, as a QA engineer and then QA manager on platforms managing more than $600 billion. My whole career comes down to one skill: proving that a regulated system actually does what it claims. An exam asks the same thing of your firm.
I do this work because the gap between what your firm is required to prove and what it's equipped to prove is exactly the kind of problem I've spent a career closing. I take the tech side of your program off your desk and keep it true, so you can run the firm you actually meant to build.
Dustin Cole
Founder, Badger Mountain Digital
Walla Walla, WA
Book a call.
Thirty minutes. I ask about your setup. You ask whatever you want. No pitch deck.
Book a call