FiSolve
FiSolve provides outsourced CCO and compliance support within a broader operating model that also includes general-counsel and COO capabilities. Its compliance work covers advisers and funds through program reviews, policies, testing, filings, training, marketing oversight, employee controls, cybersecurity, and regulatory-examination preparation.
Overview
FiSolve offers compliance, legal, and operational support to investment-management organizations and other financial institutions. Its compliance practice can act as the CCO or reinforce an internal officer, while adjacent general-counsel and outsourced-COO capabilities provide a wider operating framework when a client needs it.
The relevant RIA offering covers program governance and recurring execution rather than only registration or an annual checkup. FiSolve also supports registered funds, private funds, broker-dealers, banks, and cross-border structures, making careful scoping important for an adviser-focused engagement.
Who it may suit
FiSolve may suit an RIA or fund manager that wants one relationship across compliance, legal, and business operations. It may also fit an internal CCO who needs added capacity for testing, filings, employee oversight, marketing review, cybersecurity, or an upcoming SEC examination.
The model appears especially relevant to organizations with multiple products or regulated entities. A small advisory firm seeking a narrowly standardized package should establish whether the breadth and delivery structure are proportionate to its needs.
RIA compliance services
The reviewed service scope includes serving as CCO or supporting one, conducting adviser and investment-company program reviews, preparing for regulatory examinations, drafting or revising manuals, and providing compliance training. Registration and continuing filing assistance are also available.
Recurring controls address marketing materials, requests for proposals and due-diligence questionnaires, employee trading and ethics, political contributions, gifts and entertainment, electronic messages and retention, restricted lists, expert-network use, and cybersecurity. The program can therefore combine governance advice with day-to-day monitoring and documentation.
How the engagement works
Clients can use FiSolve for a specific project, add experienced resources to an existing team, or outsource defined compliance functions. The firm distinguishes between acting as the CCO and working in support of the client’s officer, an important difference for accountability and approval rights.
Legal and COO services may be coordinated with compliance, but the public materials do not establish that they are automatically bundled. A proposal should state the responsible team, entity coverage, work cadence, systems used, and boundaries between each professional function.
What stands out
The distinguishing feature is the ability to connect compliance work with legal and operational execution. That may reduce handoffs when a regulatory issue also affects contracts, governance, fund operations, client reporting, or business processes.
The breadth of employee and communications controls also suggests a service designed for continuing program operation, not solely high-level consulting. Buyers should still determine which reviews are performed directly and which remain the client’s responsibility.
What to clarify before contacting
Define every covered adviser, fund, product, and jurisdiction, then confirm which FiSolve personnel have relevant experience with each. Ask whether anyone will formally serve as CCO, how independence and conflicts are handled, and who approves filings, policies, advertising, employee exceptions, and examination responses.
For ongoing work, clarify testing frequency, evidence, escalation, record retention, systems access, cybersecurity, response expectations, backup staffing, legal privilege, and fees for unplanned events. If legal or COO support is contemplated, request separate responsibilities and pricing so the services can be evaluated independently.