Spend More Time with Clients and Less Time on Regulatory Updates

Don’t like dealing with compliance? With WealthPlan, you don’t have to. Our in-house compliance experts are on your team. We’ll take the burden from you and provide consistent, timely, and personalized guidance.

Stay Current with New Regulations

We follow the latest regulatory changes so you can clearly evaluate all your options within a team-based environment. Our team monitors updates from the SEC, FINRA, and DOL for Broker/Dealer, RIA, fees, compliance requirements, and cybersecurity

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Add Proven Experience to Your Firm

Operate your business with the confidence that comes with a proven team behind you. We retain a top industry law firm for assistance, and support both advisory only and hybrid firm structures.

Put Your Responsibilities on Our Shoulders

Our hybrid agreement allows us to maintain most supervisory responsibilities,
while leveraging compliance technologies, including:

New Business

Trade submissions, alerts, and reviews

Trade Monitoring

Post-trade review, error flagging, and resolution

Email Review

Surveillance and archiving from Smarsh

Compliance

Consolidated attestations and correspondence reporting.

Continuing Education

Training to satisfy industry requirements (through RegEd).

Employee Monitoring

Track outside business and personal trades (through RegEd).

Annuity Intelligence

Research and compare annuities.

Alternative Insights

Get training and information on alternative assets.

Licensing

Easily file and update your U4 and U5 filings for FINRA.

Are You Protected Against Cybersecurity Threats?

Take Our Self-Assessment to Find Out.

Fewer Regulatory Concerns. More Growth Potential.

Protect your firm’s interests and put your clients first with outsourced compliance from WealthPlan.
Schedule your initial call today to learn how we can support you.