Samuel Guy Email & Phone Number

AdvisorAssist, the leader in driving advisor independence, provides comprehensive compliance, regulatory and risk management solutions to ensure the success of entrepreneurial registered investment advisory firms (RIAs). AdvisorAssist provides strategic formation, registration and transition services, regulatory risk management, mock exams and outsourced testing functionality, on-going compliance, and related services. As a collaborative and strategic advisor to RIAs, our mission is to provide solution-based services centered around experienced consultants and scalable technology to help RIAs "build, grow, protect, and optimize" their advisory firms.AdvisorAssist supports 700+ RIAs with a combined AUM over $250B and 5,200+ supervised persons. AdvisorAssist leverages our proprietary compliance management technology called AdvisorCloud360 to empower CCO’s to navigate the increasingly complex regulatory requirements and have full transparency into all aspects of their compliance program. AdvisorAssist also provides a solution called AdvisorTrade to allow CCO’s to be able to effectively capture, monitor, and report on employee personal trading activities.

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  Connecticut College

  Government, Economics, And Statistics