Congress Wealth Advisor Solutions Congress Wealth Advisor Solutions Congress Wealth Advisor Solutions Congress Wealth Advisor Solutions
  • Partnerships
    • Strategic Partnership
    • Continuity & Succession
  • Resources
    • Financial Planning
    • Investment Management
    • Practice Management
    • Continuity & Succession Planning
    • Operations Management
    • Compliance
  • Team
  • Insights
    • Articles
    • Podcasts
  • Advisor Center
Congress Wealth Advisor Solutions Congress Wealth Advisor Solutions
  • Partnerships
    • Strategic Partnership
    • Continuity & Succession
  • Resources
    • Financial Planning
    • Investment Management
    • Practice Management
    • Continuity & Succession Planning
    • Operations Management
    • Compliance
  • Team
  • Insights
    • Articles
    • Podcasts
  • Advisor Center

Compliance

A critical piece of an advisory firm’s business

We are pleased to work with leading compliance consultant AdvisorAssist to provide compliance support to our Strategic Partners. AdvisorAssist is known throughout the industry for its excellent client service and unique technology platform.

As part of our Operations Services, Strategic Partners can participate in AdvisorAssist’s Compliance Advantage™ Program. AdvisorAssist’s experienced compliance professionals will work directly with the advisor to develop a compliance program designed to meet the unique needs of the advisory firm and its business model. Services include compliance policies and procedures, a code of ethics, a written information security policy and a client suitability document. In addition, AdvisorAssist offers ongoing annual firm maintenance, including all Form CRS and Form ADV filings, confirmation and administration of payment of fees, filing of amendments and registration analysis to ensure all persons are properly registered.

Resources

Financial Planning
Investment Management
Practice Management
Continuity & Succession Planning
Operations Management
Compliance

Schedule a call

Learn more about our strategic partnerships by scheduling a call at your convenience.

Choose your time

Office headquarters

155 Seaport Blvd
Boston, MA 02210
Phone: (617) 428-7600 Fax: (617) 428-7699

Form ADV for Congress Wealth Management
Form CRS
Legal Disclaimers
Privacy Policy

Follow us

  • linkedin

Contact us via email

    © Congress Wealth Advisor Solutions
    Congress Wealth Advisor Solutions (CWAS) is a division of Congress Wealth Management, LLC (CWM), which is a registered investment advisor with the U.S. Securities and Exchange Commission. Registration does not imply a certain level of skill or training. For additional information, please visit the Investment Adviser Public Disclosure website by searching with CWM's CRD #310873. Investment Advisory services are offered and rendered through CWM. CWM acquired Pinnacle Advisory Group, Inc. (Pinnacle) on April 30, 2021.