---
title: True West | Services | RIA Compliance
description: Stay focused on managing client investments and enhance compliance for RIAs with True West's tailored services, from regulatory filings to risk management.
image: https://www.truewest-consulting.com/hubfs/Feature-Images/TW-Services.jpg
---
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- [About](https://www.truewest-consulting.com/about)
- [Technology](https://www.truewest-consulting.com/technology)
- [Services](https://www.truewest-consulting.com/services)
- Compliance
- [RIA Compliance](https://www.truewest-consulting.com/services/ria-compliance)
- [Private Fund Compliance](https://www.truewest-consulting.com/services/private-fund-compliance)
- [Legal](https://www.truewest-consulting.com/services/legal)
- [IT Operations & Governance](https://www.truewest-consulting.com/services/it-operations-and-governance)
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# RIA Compliance Services
We LOVE compliance. True West believes in a compliance program based on education, engagement and follow through. Oh, and we have fun while doing it.
[Scroll](https://www.truewest-consulting.com/services/ria-compliance#next)
## Navigate Compliance with Confidence
At True West, we specialize in providing comprehensive compliance services tailored specifically for Registered Investment Advisers (RIAs). Understanding the complexities of regulatory requirements, we offer solutions that help you focus on what you do best—managing client investments while staying compliant with evolving regulations.
## Our Compliance Services Include:
#### Regulatory Filings and Documentation
Stay ahead of the compliance curve with our expert handling of all necessary filings, from Form ADV updates to annual amendments and more.
#### Registration & Compliance Program Development
We develop and implement robust compliance programs designed to meet both SEC requirements and your firm's unique needs. This includes initial registration filing and approval with the SEC and creating customized policies and procedures that align with your business model.
#### Risk Assessment and Management
Identify and mitigate risks before they become issues with our comprehensive risk assessment services. We help pinpoint vulnerabilities and provide strategic solutions to strengthen your compliance posture.
#### Training, Education & Ongoing Support
Empower your team with knowledge on compliance through our training programs, while offering ongoing support and consultation to adapt to continuous changes and address any compliance concerns.
## Customized Solutions for Every RIA
Each RIA has unique needs, which is why our services are highly customizable. Whether you're a startup needing foundational compliance setup or an established firm looking to enhance your existing compliance framework, we tailor our services to meet your specific requirements.
[Schedule a Call](https://www.truewest-consulting.com/schedule-a-call?hsLang=en)
## Compliance Service Levels
### Base Support
Essential compliance support, including ongoing IAR filings, maintenance of compliance documents, and access to tools, templates, and training to ensure your firm meets regulatory requirements.
Manage ongoing IAR filings
Handle annual amendment updates
Facilitate all IARD updates for the firm's ADV filings
Maintain base compliance documents
Manage Policies & Procedures Manual/Code of Ethics and Privacy Policy Template
Provide tools and templates for compliance
Discounted IAR CE courses through a third party
Distribute quarterly education pieces, monthly newsletter, and a task list
Training for 13F filing process
### Advisory Support
Enhanced compliance consulting with a focus on regular communication, tailored agendas, SEC exam support, and unlimited access to True West consultants for in-depth regulatory guidance.
*Includes everything from Base Support PLUS:*
File ADV Annual Amendment
Assist with firm disclosure document updates
Assist with risk matrix analysis
Provide marketing review & commentary
Assist with 206(4)-7 annual review
Provide annual compliance meeting (December CIC meeting)
Support with SEC/State exams
Track state CE requirements
Quarterly or monthly scheduled education calls
Provide monthly calendar & newsletter
### Operational Support
Comprehensive compliance management, including program maintenance and testing, quarterly training, cybersecurity monitoring, and vendor management to ensure robust and continuous regulatory adherence.
*Includes everything from Base & Advisory Support PLUS:*
Manage internal compliance documentation file system
Complete monthly CCO checklist from True West
Coordination of cyber security, email archiving and review tech providers
Detailed marketing review and file documentation
Request and submission of various SEC reporting requirements: E.G., 13F
Document best execution review
File 13F on a quarterly basis (if applicable)
Third party review of firm electronic correspondence
Provide monthly update to CCO
[Schedule a Call](https://www.truewest-consulting.com/schedule-a-call?hsLang=en)
## Stay Compliant, Stay Ahead
Navigating the regulatory landscape doesn't have to be daunting. With True West’s compliance services, you can ensure your firm not only meets but exceeds regulatory expectations. Let us handle the complexities of compliance, so you can focus on growing your business and serving your clients.
[Schedule a Call](https://www.truewest-consulting.com/schedule-a-call?hsLang=en)
#### True West
True West is your partner in all operational activities, allowing you to focus on your relationships and manage your clients' portfolios.
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## Nancy Harry
Founder
Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
[mailto:nancy.harry@truewest-consulting.com](mailto:nancy.harry@truewest-consulting.com)
## Kari Thiessen
Founder
Kari is a founding Member at True West. She brings nearly 30 years of experience in the financial services industry with a history in regulatory tax compliance, tax planning, economics and supply chain consulting. Kari takes pride in developing practical and innovative solutions for clients. Kari brings a broad and deep set of skills for any business, corporate or single person shop.
[mailto:kari.thiessen@truewest-consulting.com](mailto:kari.thiessen@truewest-consulting.com)
## Sigrid Alegria
Associate
Sigrid is an Associate at True West Consulting, bringing with her nearly a decade of experience in the legal and compliance sectors. Her background includes roles as an in-house compliance associate, as well as experience with prominent firms such as Goldman Sachs & Co. Sigrid has developed a strong expertise in regulatory compliance, with a particular focus on evolving Registered Investment Advisor (RIA) regulations. At True West, she leverages her comprehensive knowledge to provide operational support to a diverse range of clients, helping them navigate complex compliance challenges and stay ahead of regulatory changes."
[mailto:Trish.Gallagher@truewest-consulting.com](mailto:Trish.Gallagher@truewest-consulting.com)
## Caroline Iannucci
Associate
Caroline is a Compliance Associate at True West. Caroline brings with her 10 years of Wall Street experience and broad based knowledge of the financial markets. As an institutional equity salesperson, she covered both hedge funds and mutual funds, specializing in public equities and private stock offerings.
[mailto:caroline.iannucci@truewest-consulting.com](mailto:caroline.iannucci@truewest-consulting.com)
## Carliss Marshall
Associate
Carliss is a Compliance Associate at True West Consulting with six plus years of compliance experience. She has worked both as a member of an in-house compliance team and as a compliance consultant responsible for multiple clients. Carliss has experience in a variety of compliance focus areas, with extensive experience in regulatory filings. She has worked with both registered and unregistered investment advisory firms, ensuring all aspects of their compliance programs run smoothly and all regulatory requirements are met.
[mailto:carliss.marshall@truewest-consulting.com](mailto:carliss.marshall@truewest-consulting.com)
## Sara Sparks
Consultant
Sara is a seasoned Compliance Consultant at True West specializing in registered investment advisory firms. She offers guidance and best practices on constantly changing securities division regulations and ensures firms are prepared for regulatory examinations. Sara has experience with newly registered firms and well-established firms. She assists firms with developing and maintaining a robust compliance program through guidance of policies and procedures, risk assessments, and performing day-to-day compliance duties.
[mailto:sara.sparks@truewest-consulting.com](mailto:sara.sparks@truewest-consulting.com)
## Tammy Steffen
Associate
As a Compliance Consultant/Associate with True West Consulting, Tammy brings 39 years of experience throughout the financial services industry. With extensive experience in compliance procedures and policies, operations, and supervision, Tammy has worked with Broker-Dealer, and Registered Advisory firms to bolster and enhance their operations and compliance programs.
[mailto:tammy.steffen@truewest-consulting.com](mailto:tammy.steffen@truewest-consulting.com)
## Hugh Simpson
Consultant
Hugh Simpson is a skilled professional in the financial services industry, with a deep background in the areas of legal, compliance, internal audit, enterprise risk management, corporate governance and government relations. He recently completed a 33-year stint as Executive Vice President – General Counsel and Corporate Secretary of two significant Fort Worth-based financial services companies. Prior to that he was a partner in the Corporate and Securities Section of one of the oldest and largest law firms in Fort Worth. Hugh now consults on a variety of issues in the financial services space. He takes a sensible, solutions-oriented approach to risk management, promotes effective corporate governance, and upholds high ethical standards.
[mailto:contact@truewest-consulting.com](mailto:contact@truewest-consulting.com)
## Aaron Payne
Consultant
**Aaron Payne** is an IT Infrastructure and Cybersecurity specialist with deep experience leading technology transformation efforts within the financial services sector. In recent years, he has helped RIAs and FMOs modernize disjointed and outdated IT environments - bringing them into alignment with regulatory expectations and operational best practices. His work focuses on building secure, well-governed systems that support business growth, reduce risk, and hold up under regulatory and audit scrutiny.
[mailto:deshaunne.kurulak@truewest-consulting.com](mailto:deshaunne.kurulak@truewest-consulting.com)
## David Lewien
CEO - Go West IT
David Lewien is the founder and CEO of Go West IT in Greenwood Village, Colorado. Founded in 2010, Go West IT is the security obsessed Managed Service Provider that expertly guides businesses to opportunity and protects them from harm in the digital frontier.
[mailto:david.lewein@truewest-consulting.com](mailto:david.lewein@truewest-consulting.com)
## Mark Brown
Founder - Advisor Armor
Mark Brown is the founder of Advisor Armor
[mailto:deshaunne.kurulak@truewest-consulting.com](mailto:deshaunne.kurulak@truewest-consulting.com)
## Bridget Katz
Project Manager and Onboarding Associate
As a Project Manager and Onboarding Associate with True West, Bridgetbrings over 20 years of extensive experience in the financial industry, specializing in serving large RIAs and their high-net-worth clients. In addition to serving RIAs, she led the onboarding advisor experience for a TAMP, demonstrating her expertise in streamlining client and advisor onboarding processes. Passionate about delivering end-to-end onboarding solutions, Bridget has successfully managed onboarding for multiple RIAs, supporting hundreds of users by ensuring seamless system access, compliance, and comprehensive training. Additionally, she has overseen client service operations, optimized systems, and aligned departmental efforts to ensure every client interaction reflects the highest standards of service.
[mailto:bridget.katz@truewest-consulting.com](mailto:bridget.katz@truewest-consulting.com)
## Anna Burdine
Associate
Anna is a Compliance Associate at True West Consulting with five years of compliance experience. She is an accomplished financial services professional with a strong background in compliance, supervision, and advisor support on the broker dealer side of business. Prior to her current role, she worked at LPL Financial as a supervisory principal on the advisor review team where she held her Series 7 and 24 licenses. Now with True West, she is excited to draw on her broad industry expertise as she transitions to supporting RIAs.
[mailto:anna.burdine@truewest-consulting.com](mailto:anna.burdine@truewest-consulting.com)