Our Services

We offer tailored Compliance services

Key Bridge Compliance is a boutique consulting firm revolutionizing the regulatory landscape for SEC registered investment advisers. With a passion for empowering advisory practices, we offer compliance solutions that leverage cutting-edge technology and industry expertise. Our compliance services not only help you meet regulatory requirements but also enhance your reputation, increase client trust, and create a competitive advantage in the marketplace. From Firms seeking to launch their independent RIA, to established Firms, KBC provides practical and effective consulting services to allow RIAs to launch or grow their practice.

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Our Services

New Firm

Best for new RIA’s and firms looking to start and launch.

A dedicated KBC compliance expert and team will spearhead the creation of your compliance program for your firm. This way, you are set up for success and can focus strictly on growing your business worry-free.

This is a flat fee paid up front and at the conclusion of three months, you can decide how you want to handle compliance moving forward.

What is included:
  1. Initial Consultation
  2. ADV Part 1A Creation
  3. ADV Part 2A Creation
  4. ADV Part 2B Creation
  5. U4 Registrations
  6. Form CRS Creation
  7. Privacy Policy Creation
  8. Template Compliance
    Policies and Procedures
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Foundations Consulting

Best for firms looking to supplement their internal compliance program with additional resources and assistance.

KBC grants you access to essential training, templates, and expert guidance for effectively managing your core compliance responsibilities independently. Moreover, we offer the convenience of submitting some work on your behalf.

As your business continues to grow, rest assured that KBC has an array of additional product offerings ready to seamlessly scale with your firm, delivering continuous support and thorough compliance solutions.

What is included:
  • Consulting
  1. Consultation as needed via phone and email
  2. Quarterly scheduled calls
  3. Regulatory updates and practical guidance on implementation
  • Compliance Administration
  1. Employee onboarding training (virtual)
  2. Access to template library
  3. Ongoing regulatory updates
  4. Personal account monitoring and administration of the firm’s Code of Ethics vendor
  • Regulatory Filings
  1. ADV amendment filing and OTA ADV updates
  2. Submitting of Part 2A ad Form CRS updates
  3. Will provide questionnaire for U4s and U5s, and submit
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Foundations Consulting+

Best for larger firms who want to keep the CCO internal but provide that person with comprehensive, expert support.

KBC will offer resources and support to empower you in effectively managing your core compliance responsibilities. Gain access to training, templates, and expert guidance, enabling you to independently handle your compliance tasks. With KBC, you can have peace of mind knowing that a dedicated expert will thoroughly review and submit your reports, conduct selective testing, and utilize KBC’s extensive SEC expertise to proactively address potential issues.

As your firm expands and your compliance requirements evolve, KBC offers a range of product options to continue meeting your needs.

What is included:
  • Consulting
  1. Consultation as needed via phone and email
  2. Quarterly scheduled calls
  3. Regulatory updates and practical guidance on implementation
  • Compliance Administration
  1. Employee onboarding training (virtual)
  2. Access to template library
  3. Ongoing regulatory updates
  4. Personal account monitoring and administration of the firm’s Code of Ethics vendor
  • Regulatory Filings
  1. ADV amendment filing and OTA ADV updates
  2. Submitting of Part 2A ad Form CRS updates
  3. Will provide questionnaire for U4s and U5s, and submit
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Enterprise Consulting

Ideal for larger firms seeking to maintain an in-house Chief Compliance Officer while accessing comprehensive, expert support.

Propel your business to new heights with unparalleled compliance support from our Enterprise Consulting service. Our elite team of compliance experts will be dedicated to advising your Chief Compliance Officer and senior management, providing strategic guidance on compliance-related decisions and proactive support.

This service level is specifically designed to leverage the capabilities of your existing team, ensuring that you achieve superior business and compliance outcomes that surpass what you could achieve by managing compliance alone.

What is included:
  • Consulting
  1. Consultation as needed via phone and email
  2. Monthly scheduled calls with additional ad hoc meetings as necessary
  3. Examination support, including the review and preparation of examination responses
  4. Initial and ongoing review of Form ADV and firm brochure
  5. Initial and ongoing review of compliance manual
  6. Regulatory updates and practical guidance on implementation
  • Compliance Administration
  1. Employee training (virtual or onsite)
  2. Risk assessment with annual updates
  3. Advertising review
  4. Personal account monitoring and administration of the firm’s Code of Ethics vendor
  5. Tailored compliance testing program administered by KBC
  • Regulatory Filings
  1. Form ADV annual update amendment and updates as necessary
  2. Form ADV-E (as applicable)
  3. Form 13F filings (as applicable)
  4. Web CRD/IARD
  1. Will serve as administrator on firm’s Web CRD/IARD account and coordinate with Super Account Administrator (SAA)
  2. Annual renewal notifications
  3. Form U4/U5 filings, as necessary
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Outsourced CCO

Designed for small to mid-size firms committed to growth, our most intensive compliance solution allows you to concentrate your energy and resources on expanding your business.

Experience growth-focused strategies and unwavering compliance expertise with our Outsourced CCO service. Our dedicated compliance expert will seamlessly step into the role of your Chief Compliance Officer, supported by a team of highly skilled compliance professionals. Together, we will provide end-to-end administration of your compliance program.

This service level represents the pinnacle of KBC’s offerings, embodying our commitment to delivering exceptional value and results to our clients. With our Outsourced CCO service, you can confidently pursue your growth ambitions while maintaining the highest standards of compliance.

What is included:

In addition to the services listed Enterprise Consulting Services, a KBC employee will be listed as CCO on all adviser regulatory filings and serve as the regulatory liaison between the firm and the Securities and Exchange Commission, and other regulatory agencies, as necessary. In the event of an onsite examination, the firm can expect that the KBC CCO will be onsite leading the examination response on the firm’s behalf.

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