New Client Service

regulatory compliance

dynamic wealth

Regulatory Compliance & Dynamic Wealth Advisors Launch New Client Service

The Going Independent program builds
independent financial adviser infrastructure from registration to sale

Boston, MA - Regulatory Compliance, LLC, a leader in products and services for Securities Broker Dealers and Registered Investment Advisers, in affiliation with Dynamic Wealth Advisors, an RIA practice development firm, launched Going Independent, a comprehensive turnkey Investment Advisory platform for the Independent Registered Investment Advisor. The comprehensive platform assists RIA clients with building an independent financial adviser infrastructure from the ground up by providing the operational, technological, compliance and regulatory elements necessary to successfully operate a practice. This new service includes client facing and operations technology, investment operations for middle and back office, complete compliance program and business planning.

Jim Cannon, CEO, Dynamic Wealth Advisors suggests Going Independent fills a void for both existing and emerging independent practitioners, wealth managers and private portfolio managers seeking to operate with the advantage of a robust suite of advisory practice solutions. "Challenged with establishing a practice, growth and development or just operational efficiency, our clients have access to an optimal mix of services for their practice and enjoy the freedom and protection needed to successfully develop and operate in a highly effective manner."

Going Independent's comprehensive technology and service platform includes a selected menu of business functionalities to get clients started and keep up-to-date on compliance obligations. The program includes Registered Investment Adviser registration, compliance support for RIA, turnkey technology offerings, investment operations support for RIA, and exit or destination planning. Going Independent also offers business consulting, assessment and valuation planning, regulatory reporting, tax and accounting services.

About Regulatory Compliance
Since 1989, Regulatory Compliance provides compliance consulting and business consulting services to the financial services industry including FINRA and SEC applications for membership. Regulatory Compliance also provides financial operations & accounting consulting (FINOP) as well as internal compliance examinations and testing (AML, branch, SEC/FINRA books and records, 206(4)-7), continuing education for Firm Element, Regulatory Element and Series training materials, compliance & procedures manuals and much more. Click here to contact us or call toll free (888) 734-2667.

About Dynamic Wealth Advisors
Dynamic Advisor Solutions LLC, d/b/a Dynamic Wealth Advisors is an independently owned and operated RIA practice development firm headquartered in Scottsdale, Arizona. Serving advisory practices throughout the U.S., DWA provides back and middle office services, multiple custodian and platform options, practice management support, investment solutions and related services to advisory practices affiliated with its RIA and other RIA firms. For more information, call 877-257-3840 or visit