RIA Compliance, Broker Dealer Compliance, Fintech Compliance
- Investment Advisers
- Broker Dealers
- Fintech Transmitters
RIA Compliance, Broker Dealer Compliance, Fintech Compliance
- Investment Advisers
- Broker Dealers
- Fintech Transmitters
Affordability for New & Small Businesses
A Modern Compliance Approach That Reduces Cost
At Truss Capitalservices, compliance is at the core of everything we do. With decades of institutional experience in the investment industry, we specialize in designing and implementing comprehensive compliance programs tailored to SEC, FINRA, and global regulatory standards.
By integrating advanced AI-driven tools, we enhance policy development, automate monitoring, and streamline audit readiness — ensuring your operations stay ahead of evolving regulatory demands while reducing administrative costs at affordable rates.
Whether launching a new advisory or strengthening an existing compliance framework, Truss Capitalservices delivers the intelligence and expertise to safeguard your business and build lasting regulatory confidence.
Service Offerings
- Adviser, Broker Dealer, and Fintech Transmitter Registrations
- Compliance Program Administration
- ADV Reviews
- Marketing Reviews
- Suitability Reviews
- Policy & Procedures Development
- Regulatory Audit Preparation
- Anti Money Laundering Program
- Operational Risk Program Assessments
- Business Contingency Planning Review
- Vendor Management Programs
- Client and Custody Conversions
About Us
Truss Capitalservices is a boutique consulting firm established in 2007 as Truss Capitalservice Partners LLC, delivering over 25 years of expertise in regulatory compliance for investment, wealth management, and advisory firms. The Compliance team at Truss leverages deep industry experience and the latest AI-driven solutions to help clients navigate complex regulatory landscapes, enhance operational efficiency at greater cost savings.