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.
A Different Kind of Compliance Partner
At Fairview, we believe effective compliance requires more than templates and annual check-ins.
Our approach blends:
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. 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:
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.
Why Fairview
High-Touch Service. Long-Term Partnership. AI Enabled.
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, contact us. Fairview is ready to help.
Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.
On August 18, 2026, the SEC proposed “Regulation Crypto Assets,” a new regulatory framework for certain investment contracts involving crypto assets (“covered investment contracts”). The proposal follows the SEC’s March 2026 interpretive release addressing the application of federal securities laws to certain crypto assets and transactions, and represents another step in the SEC’s broader effort to establish clearer rules for crypto asset markets.
On August 11, 2026, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a final rule that permanently removes all requirements for U.S. companies and individuals to report beneficial ownership information under the Corporate Transparency Act (“CTA”).
On July 31, 2026, the SEC settled charges against a New York-based registered investment adviser for calculating and charging advisory fees inconsistently with its advisory agreements and Form ADV Part 2A disclosures and for failing to implement written policies and procedures designed to ensure advisory fees were calculated correctly.
