Full-Service SEC Compliance for Registered Investment Advisers

Building and maintaining a strong SEC compliance program is complex, time-consuming, and constantly evolving.

Fairview provides full-service compliance administration for RIAs, acting as a true extension of your team to manage execution, documentation, testing, filings, and exam readiness. We take this off your plate so you can stay focused on running your firm, not chasing regulatory tasks.

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Compliance Execution You Can Rely On

We deliver ongoing, hands-on compliance support embedded in your day-to-day operations.

We help RIAs:

• Stay ahead of regulatory change
• Reduce operational compliance burden
• Maintain consistent documentation and testing
• Strengthen exam readiness and defensibility
• Operate with greater confidence under SEC oversight

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Comprehensive RIA Compliance Services

End-to-End Program Administration

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

Core Services Include:

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

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

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A Different Kind of Compliance Partner

Effective compliance requires more than static documents. It requires ongoing oversight, proactive updates, and consistent execution.

Our approach combines:

• A dedicated team of experienced compliance professionals
• Ongoing monitoring and structured testing
• Proactive regulatory change management
• Embedded administrative and documentation support
• Proprietary technology to track marketing reviews, Code of Ethics, activities, and records

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Technology-Enabled, Human-Led Compliance

We pair purpose-built compliance technology with hands-on professional oversight to streamline administration and strengthen your program.

Our platform helps:

• Maintain centralized, real-time compliance records
• Track marketing materials and review workflows
• Monitor Code of Ethics and personal trading activity
• Support organized, audit-ready documentation

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High-Touch Service. Long-Term Partnership.

As a mid-sized firm, Fairview delivers personalized service with the depth and consistency RIAs need.

You gain:

• Dedicated client service teams
• Direct access to senior compliance professionals
• Customized compliance frameworks
• Proactive communication and guidance
• Long-term partnership focused on your firm’s evolving needs

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Strengthen Your Compliance Program with Confidence

If you are looking for a full-service partner to manage SEC requirements, reduce operational burden, and support your CCO with hands-on execution, Fairview is ready to help.

Schedule a consultation to explore how we can support and strengthen your RIA compliance program.