eAdvisor Compliance

Our Purpose

eAdvisor Compliance, Inc. exists to empower Investment Advisors by simplifying the complexities of compliance and regulatory requirements. We combine cutting-edge technology with personalized solutions to guide you through the evolving landscape of financial regulations.

Who We Are

Founded by experienced financial expert Lance MacKenzie, eAdvisor Compliance has over two decades of experience assisting Investment Advisors in navigating the ins and outs of compliance. Our team combines deep industry knowledge with a passion for innovative solutions to empower financial professionals to focus on their clients.

Compliance Support

• Streamlining the initial registration process
• Problem-solving for regulatory compliance issues
• Development and maintenance of regulatory documents, including disclosure forms, agreements, and compliance manuals
• Comprehensive compliance assessments and audits

Virtual Back Office

• Secure document storage and data warehousing
• Paperless environment with controlled access protocols
• Client file management and organization
• Automated workflows for efficiency and productivity

Compliance & Growth Solutions

• Advisory practice optimization
• Regulatory education and training
• Business continuity planning
• Transition planning and acquisition support

Our Approach

We believe in taking a proactive and personalized approach to compliance. We work closely with each client to understand their unique needs and challenges, then tailor our solutions to their specific situation. Our goal is to empower Investment Advisors to focus on providing exceptional client service while ensuring they remain compliant with all applicable regulations.

Our Commitment

At eAdvisor Compliance, we are dedicated to staying ahead of the curve when it comes to industry regulations. We proactively monitor regulatory changes and advancements in technology to provide our clients with the most innovative and effective solutions available. We are committed to providing exceptional customer service, unwavering support, and tailored solutions to empower Investment Advisors to thrive in today's complex regulatory environment.