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We are a boutique firm providing initial registration and ongoing compliance services to SEC and state registered investment advisers

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We specialize in providing comprehensive compliance solutions tailored to meet the unique needs of your business. Our team is committed to helping your organization remain compliant with all relevant regulations, offering a full spectrum of services designed to mitigate risk and promote transparency.
Our services include:

Rule 206(4)-7 Required Annual Compliance Program Review and Assessment

Mock Regulatory Audit

DOL Retrospective Review

Best Execution and Trading

Code of Ethics

Personal Security Transaction Reporting

Form ADV Amendments

IARD Filings

Form U4 and U5 Filings

Creation and Revision of Policies and Procedures

Registration Services

Form 13F and Form 13H Filings (Coming 2026!)

Advertising Review

Contact Us

Contact us and we'll get back to you within 24 hours.

PO Box 10254 Knoxville, TN 37939-0254

(865) 770-1024

support@claytonics.com