Registration and Retainer Services for CPA Financial Planners


Disclaimer: The services outlined below are provided by Compliance Advisor Professionals, LLC (CAP). Reference to this third-party service provider does not imply any form of endorsement, non-endorsement, support or commercial gain by the AICPA. Members should do their appropriate due diligence to determine if the services provided by CAP are adequate to meet their needs. In your due diligence process, it is important to review the offerings of other registration and retainer providers. 

Important: If you or your firm are providing financial planning advice without managing investments, it is important to understand when you are providing covered investment advice that requires you to register as an investment adviser. Read The CPA’s Guide to Investment Advisory Business Models to learn more.

The compliance services outlined below are designed for CPAs and firms who are providing consultative financial planning services without investment management. The service offering includes initial registration AND ongoing retainer services.

Visit Compliance Advisor Professionals, LLC to learn more.

Registration Services for CPA Financial Planners

The goal of CAP is to help you establish efficient and effective routines to maintain your Compliance Program and related documentation, as required by your securities regulator(s).

All of the Compliance Program templates are provided, as well as customization to make sure they fit your firm. CAP works with you during every step of the process to ensure your understanding and assist you with any issues that may arise. One-time services include:

At the completion of the registration, retainer services are offered to support you in your on-going compliance needs.

These Registration Services are only offered in conjunction with the Retainer Services below.

Retainer Services for CPA Financial Planners
(Required with Registration Services)