Full-Service SEC Compliance Administration

Fairview acts as an extension of your team, handling execution, documentation, testing, filings, and exam preparation, so you can focus on running your firm. Our proprietary software utilizes AI to strengthen the specific, defined parts of the work that benefit from a faster first pass. It never replaces the compliance professional who knows and understands your firm.

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A Different Kind of Compliance Partner

At Fairview, we believe effective compliance requires more than templates and annual check-ins.

Our approach blends:

• A dedicated team of compliance professionals
• Ongoing monitoring and testing
• Proactive regulatory change management
• Proprietary technology and AI that helps our team manage marketing reviews, COE, activities, and more

Whether you are launching a new RIA, or supplementing an existing in-house compliance team, we provide the structure, oversight, and hands-on support CCOs need to run sound compliance programs.

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Comprehensive Compliance Administration

We support the full lifecycle of your RIA compliance program—from registration through SEC examinations and ongoing oversight.

Core Services Include:

• SEC registration and ongoing regulatory filings
• Development and maintenance of policies and procedures
• Form ADV preparation, filing, and amendments
• Annual compliance reviews and documentation
• Compliance program risk assessments
• Ongoing testing of policies and procedures
• Code of ethics and personal trading monitoring
• Marketing and advertising review
• Books and records management
• Coordination of related filings (Form D, Form PF, Section 13 filings, and more)
• SEC exam preparation and hands-on exam support

Each engagement is tailored to your firm’s size, complexity, strategy, and regulatory profile.

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Built for Chief Compliance Officers

We partner closely with CCOs who are juggling expanding regulatory expectations with limited internal resources.

Our clients depend on us to:

• Track and interpret SEC rulemaking and guidance
• Update disclosures, policies, and procedures
• Maintain testing calendars and documentation
• Identify and remediate gaps
• Produce exam-ready materials
• Provide experienced backup during periods of growth or turnover

With Fairview, you gain continuity, confidence, and a responsive team that understands the realities of operating an RIA.

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Technology-Enabled, Human-Led

Fairview pairs proprietary compliance technology with hands-on professional oversight to streamline administration and strengthen programs. This technology increasingly includes artificial intelligence, used in specific, defined ways and always under direct compliance oversight.

AI does not change how you work with us. It changes how much of the routine review work our team can complete, and how consistently it gets done, without changing who is accountable for it.

AI and Technology in Practice

Our tools and applications help:

• Review marketing materials and advertising, with an initial AI pass flagging potential Marketing Rule issues before a compliance professional reviews the piece
• Conduct AI-enabled surveillance of email and electronic communications, leveraging classification models and keyword flags to identify outside business activities, undisclosed conflicts of interest, prohibited language, and other potential or actual violations of applicable regulations or firm policies and procedures
• Conduct Annual Review quality control
• Reconcile Form CRS to ADV, including checking that fee disclosures, conflicts, and services described in Form CRS match what is filed in ADV Part 2A
• Track code of ethics and personal trading, cross-checking trade reports against various types of personal trading restrictions

Fairview uses AI to strengthen these specific, defined parts of our compliance work for RIAs. AI handles the repetitive first look. A Fairview compliance professional, the same person who already knows your firm, reviews and signs off on every output.

None of the items above are add-ons or software packages. They are tasks we automate to make our service to clients more efficient and more consistent.

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Why Fairview

High-Touch Service. Long-Term Partnership. AI Enabled.

As a mid-sized firm, Fairview is designed to deliver personalized service at scale:

• Dedicated client teams
• Direct access to senior compliance professionals
• Customized compliance programs
• Proactive communication
• Long-standing RIA relationships

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Explore How Fairview Can Support Your Compliance Program

If you are looking for a full-service partner to help manage SEC requirements and reduce the operational burden on your team, contact us. Fairview is ready to help.