A message from Stark & Stark regarding COVID-19 (Coronavirus): CLICK HERE for more information.

Outsourced Compliance Services

Historically, we were reluctant to provide outsourced compliance services for several reasons, but chief among them was our belief that an investment adviser must own its compliance program.

After building out the essential infrastructure, and hiring the necessary personnel, we began successfully offering these services to a small subset of clients a few years ago. With those efforts running smoothly, we are now making these additional outsourced compliance services more widely available.

We understand there is no one-size fits all program or approach to compliance. We will tailor the scope of our services to each client, customize our engagement to fit your specific needs and won’t force you to pay for services that are not required or that can easily be performed in-house.

Some of our services include:

  • Review and maintain Form ADV;
  • Prepare and submit Forms U-4 and U-5;
  • Prepare and update policies and procedure manual;
  • Conduct email review;
  • Determine requirements for and submit state notice filings;
  • Prepare and submit Form 13F, 13H and Schedules 13D/G;
  • Conduct advertising reviews;
  • Assist with performing annual reviews of the firm’s policies and procedures;
  • Conduct annual compliance meetings with firm employees;
  • Conduct branch office reviews; and
  • Engage in monthly compliance calls.

We would be happy to discuss this offering with you to assist with your compliance needs.

Click here to contact a lawyer

Multiple locations to better serve your needs—

Princeton, NJ

993 Lenox Dr, Building 2
Lawrenceville, NJ 08648
Phone: 609.896.9060
Secondary phone: 800.535.3425
Fax: 609.896.0629
google map

Marlton, NJ

40 Lake Center, 401 NJ-73, Suite 130
Marlton, NJ 08053
Phone: 856.874.4443
Secondary phone: 888.241.7424
Fax: 856.874.0133
google map

Yardley, PA

777 Township Line Road, Suite 120
Yardley, PA 19067
Phone: 267.907.9600
Fax: 267.907.9659
google map

New York, NY

5 Pennsylvania Plaza 23rd Floor
New York, NY 10001
Phone: 800.535.3425
google map

Philadelphia, PA

The Bellevue 200 S Broad St #600
Philadelphia, PA 19102
Phone: 267.907.9600
Secondary phone: 800.535.3425
Fax: 215.564.6245
google map

Bridgeton, NJ

78 W Broad St
Bridgeton, NJ 08302
Phone: 856.874.4443
google map