NorthPoint Compliance
NorthPoint Compliance provides project-based SEC compliance support to investment advisers, including registration, program documents, annual reviews, mock examinations, risk-based testing, filings, examination response, training, advertising review, conflicts, trading, records, valuation, and Blue Sky assistance. Each engagement begins with an ADV and program review followed by a written scope.
Overview
NorthPoint Compliance is an SEC-focused consultancy for registered investment advisers. Its services cover adviser registration, program documents, annual reviews, mock examinations, continuing testing, filings, regulatory inquiries, and a range of targeted control reviews.
The delivery model is explicitly project-oriented. NorthPoint first reviews an adviser’s Form ADV and discusses the current program, then prepares a proposal describing the assignment’s goals, methods, responsibilities, fees, and scheduling.
Who it may suit
NorthPoint may suit an RIA that knows it needs an independent annual review, readiness exercise, or risk-based testing but does not want to outsource the CCO role. It can also support a new SEC registrant with Form ADV, policies, and a Code of Ethics.
Established firms may use the company for a narrower issue involving advertising, employee trading, conflicts, execution, records, valuation, due diligence, disclosures, or a pending SEC request. Firms seeking continuous administration should verify what remains available between projects.
RIA compliance services
The mock-examination process uses document requests and selected employee interviews to simulate regulatory scrutiny. Annual reviews assess whether policies remain appropriate and effective, then test controls according to the risk in each program area. Longer testing assignments use a calendar, preserve information about the work performed, and provide observations and recommendations.
Registration services include Form ADV preparation and IARD submission, customized policies, and ethics documentation. Additional work covers training, advertising, testing-plan design, examination or inquiry support, disclosure review, conflicts, client and employee trading, best execution, soft dollars, books and records, risk inventories, valuation, due diligence, and Blue Sky filings.
How the engagement works
An engagement begins with document review and a discussion of the adviser’s program. NorthPoint then proposes a defined scope rather than presenting a universal package. That allows a project to concentrate on the firm’s particular risks, but buyers must read the stated methodology and responsibility map carefully.
Annual and ongoing-testing assignments may extend over a scheduled period. Public materials do not describe a general retainer, named CCO appointment, technology platform, or standard service levels outside the individual proposal.
What stands out
NorthPoint explains its testing mechanics more clearly than many smaller consultancies. The source materials distinguish a mock examination, an annual program assessment, and recurring control tests rather than treating them as interchangeable labels.
The proposal process is another useful signal because methodology, ownership, and price are addressed before work begins. That structure should make competing bids easier to compare if the RIA requests equivalent deliverables.
What to clarify before contacting
Ask which regulatory request list, testing period, populations, samples, interviews, and program areas will be covered. Confirm the format of findings, whether management responses are included, how urgent issues are escalated, and whether the consultant assists with remediation and retesting.
For registration or filing work, assign drafting, review, approval, submission, fee payment, and record-retention responsibilities. Also clarify data security, document exchange, travel, response expectations, expanded-scope approval, and what continuing support is available after the final report.