Coulter Strategic Services

Practical, customized compliance support for financial planning and investment advisory firms.

Coulter Strategic Services provides customized regulatory compliance consulting and education to SEC- and state-registered investment advisers, including firms that provide comprehensive financial planning services. Services include ongoing compliance support, annual compliance reviews, Form ADV and Form CRS reviews and amendments, compliance manuals and policies, advertising and marketing reviews, regulatory filings, registration assistance, regulatory examination support, compliance research, and staff training. Led by Lisa M. Marsden, IACCP®, a former advisory firm partner and C-suite member, the firm provides practical guidance tailored to each adviser’s business, operations, financial planning services, and regulatory obligations. Coulter Strategic Services is also an approved IAR Continuing Education provider.

FPA Advantage

FPA members that are SEC- or state-registered investment advisers receive a 25% discount on compliance consulting services. This benefit gives financial planning and investment advisory firms access to customized support without requiring a standardized service package. Members may obtain assistance with ongoing compliance needs, annual reviews, disclosures, policies and procedures, advertising and marketing reviews, regulatory filings, registrations, regulatory examinations, compliance research, or staff education. The scope is tailored to the firm’s registration status, financial planning and advisory services, business model, operations, and immediate priorities. This allows the adviser to retain responsibility for its compliance program while obtaining experienced, practical support where it is most needed.

Benefits

Customized support for SEC- and state-registered investment advisers, including firms that provide comprehensive financial planning services; project-based and ongoing service options; practical guidance from an IACCP® with advisory firm leadership experience; assistance with annual reviews, Form ADV and Form CRS filings, policies and procedures, marketing reviews, regulatory examinations, registrations, compliance research, and training; compliance education designed for advisory and financial planning personnel; and direct, accessible support tailored to the firm’s operations. Coulter Strategic Services helps financial planning and investment advisory firms strengthen their compliance programs, address regulatory changes, and complete required work efficiently while keeping the firm’s CCO and management appropriately involved.