Building and maintaining a strong SEC compliance program is complex and time consuming. Fairview delivers full-service compliance administration for registered investment advisers to help firms manage risk, stay ahead of regulatory change, and operate with confidence.
We act as an extension of your team, handling execution, documentation, testing, filings, and exam preparation, enabling you to focus on other tasks, while remaining confident in your compliance program.
A Different Kind of Compliance Partner
At Fairview, we believe effective compliance requires more than templates and annual check-ins.
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.
Comprehensive Compliance Administration
We support the full lifecycle of your RIA compliance program—from registration through SEC examinations and ongoing oversight.
Core Services Include:
Each engagement is tailored to your firm’s size, complexity, strategy, and regulatory profile.
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:
With Fairview, you gain continuity, confidence, and a responsive team that understands the realities of operating an RIA.
Technology-Enabled, Human-Led
Fairview pairs proprietary compliance technology with hands-on professional oversight to streamline administration and strengthen programs.
Our tools help:
High-Touch Service. Long-Term Partnership.
As a mid-sized firm, Fairview is designed to deliver personalized service at scale:
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, Fairview is ready to help.
Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.
On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.
After months of preparation, today’s the day: All smaller firms ($1.5B or less in AUM) must comply with Amended Regulation S-P by today, June 3, 2026. These firms now join the larger firms that began complying on December 3, 2025.
On May 18, 2026, the SEC rescinded the “no-admit/no-deny” policy under Rule 202.5(e), which stated that when the Commission imposes a sanction, it will not accept a settlement unless the defendant or respondent agrees never to publicly deny the allegations in the complaint or administrative order.
