Philosophy

Asgard Regulatory Group, LLC (“Asgard”) is a leading provider of risk management and regulatory compliance support services to broker-dealers, registered investment advisers and private equity firms. Asgard approaches each relationship by developing a customized regulatory compliance program that is designed to address all your Firm's specific regulatory needs. We believe face-to-face interaction with our clients creates the most advantageous working environment.

What we do

Asgard begins each engagement by interviewing your management team to develop a list of regulatory requirements specific to your Firm. We then collaborate with management to plan and execute strategies to achieve ongoing compliance. Our team will work for you, and with you, to achieve compliance with the rules and regulations of FINRA, SEC and other governmental regulatory bodies.

OUR Services

Broker-Dealer

Learn More

Investment Adviser

Learn More

FINOP

Learn More