We Help Advisors Know
What They Don't Know.

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For Advisors Who Value
Getting it Right the First Time

The financial advisors we work with come from various backgrounds, business models, and investment philosophies. They are typically small to mid-size fee-only firms that want to embrace their independence, yet have hesitations when it comes to establishing and maintaining their compliance program.

When operating their RIA firm, our clients are smart enough to realize that they don’t know what they don’t know. So, they rely on us to guide them through the registration, brand development, and ongoing compliance maze.

Our clients ultimately choose us because they appreciate our responsive, hands-on approach to helping them grow and maintain a compliant-focused advisory firm.

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I was completely out of my element, but their responsiveness and support made all the difference.

Tara Stewart, Founder

Who We Work With

We work with financial professionals—from seasoned portfolio managers to Nextgen advisors—who are focused on doing things right the first time.

Broker-Dealer Breakaway

If you’re thinking about leaving your broker-dealer or wirehouse to pursue your own RIA firm, your secret is safe with us. In many cases, we can set up your new firm without your current employer finding out.
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Leaving an RIA Firm

Working as an investment adviser representative at someone else’s RIA has an upside, but if you have a dream of running your own firm someday and keeping all the fees you earn, we can help with the transition.
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Financial Planners & Insurance Agents

Financial planning only RIAs and insurance agents have nuanced ongoing compliance and regulatory requirements that result in more tailored compliance programs.
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Investment Managers

Investment managers have highly complex and varied business models -- no two firms are the same. We custom build the registration, brand, and compliance program to ensure all angles are covered.
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Private Fund Managers

We help private equity, venture capital, hedge fund, and other alternative fund managers set up their own RIA or exempt reporting advisor (ERA). We also have connections with several law firms throughout the country who can assist with drafting your private fund documents.
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Internet-Only Advisers

Automated online investment advice is gaining popularity and this model offers an opportunity to grow and scale a business. However, there are several pitfalls. We have navigated the startup of many internet-only RIAs registered with the SEC and know the process well.
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Work With Us

Why Clients Love Working With Us.

For over 20 years, our clients have told us they love working with us because we consistently deliver reliable results, transparent pricing, and exceptional service.

We’re Not a Software, We’re Your Partner.

Approachable, and highly responsive, our team  is focused on providing you the guidance and support you need, when you need it.

We’re a Small Firm, With Big Experience.

Our team has more than a century of experience working exclusively with investment managers and financial advisors.

We’re Independent -- Just Like You.

We deliver unbiased guidance based on your vision, business model and budget — nothing else.



We’re a Compliance-First Firm.

Our commitment to compliance isn’t just policy—it’s built into our culture, decision-making, and every client interaction.

We Believe Knowledge Builds Confidence.

We help our clients know what they don’t know so they can set up and run their firms more efficiently.

We Offer Exceptional Value Without Hidden Fees.

Clients trust us to deliver real value without hidden fees or surprises.

Move Forward with Confidence

Get the compliance answers and support you need to move your financial firm forward with confidence. Talk with one of our compliance experts today.

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Compliance Support

What Our Clients Are Saying...

Advisor Guidance has been a huge asset to our firm and they have helped us stay up to date with all our compliance needs. I would highly recommend them to anyone in the RIA space.
- Neil Farrell, Vice President & Financial Advisor

Registration Services

I looked into seven different compliance firms when setting up my RIA. Advisor Guidance was the most transparent, informative, and attentive. I am very happy with my decision to go with them. The team was so on top of things throughout the registration process, it felt like they were working at the desk next to me. Thank you for your efficiency!
- Melissa Estrada CFP®, BFA ™, MPAcc, Founder

Compliance Services

The Advisor Guidance team assisted with registering my firm in multiple states. They are very thorough and had quick response times to my questions and update requests. Sam is still my compliance go to and I'm grateful to have him in my corner. I can’t recommend Advisor Guidance enough.
- Paul Culbreth, CFP®

Branding Services

Working with Advisor Guidance has been a game-changer for our business. From the moment we connected, their team took the time to truly understand our brand, goals, and challenges. They crafted a custom strategy that really spoke to the mission and vision of our company. From the beginning, we felt heard and understood.
- Erin Zylka, CFP®, AIF®, MBA

Our Clients