Compliance Support on Your Terms
Flexible RIA compliance consulting services for independent advisers,
with solutions tailored to your needs and budget.
Services Overview
At Three Lumos Consulting (TLC), we empower independent Registered Investment Advisers (RIAs) to navigate compliance confidently. We offer a range of compliance consulting services – from long-term partnerships to one-time projects and on-demand advice – so you can choose the level of support that fits your firm best. Below is an overview of our three service categories:
Ongoing, subscription-style support to keep your firm compliant year-round. Ideal for RIAs looking for a monthly retainer or a tailored compliance package that provides continuous guidance, routine check-ins, and help with regulatory requirements on an ongoing basis. This service acts as an extension of your team, ensuring nothing falls through the cracks.
Targeted, project-based engagements designed to address specific compliance needs as they arise. Perfect for scenarios like RIA registration assistance, mock regulatory exams, AML program audits, marketing material reviews, or other one-off compliance projects. If you have a specialized compliance challenge, we’ll tackle it with a customized solution and clear scope.
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Flexible, hourly consulting for quick questions or urgent compliance advice. This pay-as-you-go support lets you tap into expert guidance whenever needed, without a long-term commitment. Whether you need clarification on a rule or advice on a pressing issue, our experts are just a phone call away – at $150 per hour (billed in 15-minute increments after the first hour).
Get in Touch
Not sure which service is right for you? We’re here to help!
Schedule a Consultation to discuss your needs,
or explore each service category above for more details.