Compliance Solutions for Growing RIAs
Our Services
Registration Filings
Navigating regulatory filings can often feel overwhelming and time-consuming. However, ensuring they are completed correctly, accurately, and on time is essential. Bloom offers support in preparing, reviewing, and updating your regulatory filings—whether you're completing your initial registration or managing amendments down the road.
Compliance can be challenging, especially in a constantly shifting regulatory environment. At Bloom, we’re committed to educating our clients on compliance matters and offering guidance to help manage their practices within regulatory requirements. We stay on top of regulatory changes and provide timely updates, helping you adjust your internal policies and procedures to remain compliant.
Investment advisers must maintain comprehensive written policies and procedures tailored to uphold their fiduciary duty, mitigate risks, and comply with regulatory requirements. Bloom can assist you in creating, reviewing, and updating these policies and procedures to ensure they align seamlessly with your unique business model.
Whether you need occasional support or a more hands-on approach with your compliance program, Bloom is here to assist with any one-time or ongoing needs. When it comes to keeping up compliance requirements, navigating regulatory exams, adding new products or services, or identifying risks in your program, sometimes a little extra support can make all the difference.
About Bloom
Bloom Compliance Consulting, LLC is a boutique consulting firm dedicated to supporting small- to mid-sized registered investment advisers, whether registered with the SEC or state regulatory agencies. We understand that your business is unique, and your compliance program should reflect that.
Rather than offering generic, one-size-fits-all solutions, we provide customized compliance services tailored to meet your specific needs. Our mission is to help you navigate regulatory requirements, address compliance risks, and streamline your processes—allowing you to focus on what matters most: serving your clients and growing your business.
We know that small businesses often work with limited budgets and resources. We also understand that many advisers prefer a do-it-yourself approach to compliance and may only need occasional support or guidance. That’s why our consulting services are offered on an hourly basis, with no retainers, ongoing subscriptions, or minimum fees. This gives you the flexibility to outsource what you need, when you need it, while maintaining control over your compliance budget.
We’re here to help your business bloom and thrive. Contact us to learn more.
