ADIH Inc. provides critical regulatory services to SEC registered FINRA member broker-dealers, investment advisors,  private funds, crypto firms and other regulated financial institutions. Our experience and knowledge encompasses a broad range of functions. On behalf of regulated firms we manage regulatory examinations, inquiries, investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), FinCEN, U.S. state securities agencies and foreign regulatory bodies. 

We manage and outsource key roles and functions including chief compliance officer, anti-money laundering officer, supervisory principal, licensing and registration, regulatory filings, market regulations, advertising regulations and the supervision of registered personnel and branch offices. Should you have questions on how we can assist your firm please contact us.