Navigating a business while maintaining compliance requires an approach that is specific to your firm, and agile enough to evolve with you.  The firm was founded in 2009 under the name Swayze LLC as a response to a lack of thoughtful and tailored compliance assistance available to investment firms.  While most firms were aware of some providers that sold template documents without much (if any) real understanding or customization, we found that even some of the larger, name brand providers were sending out the same manual or same language to every one of their clients.  This made their profit margins higher, as less customization means less work for the provider, but it does not necessarily lead to a good result.  To us, a good result is our clients maintaining compliance, but more importantly feeling as if their particular business approach is understood in context, allowing them the make better business decisions.   

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In 2026, we changed our name to Concierge Compliance.  The name has always been part of our culture, but now better reflects who we are, which is a firm made of talented professionals bringing a variety of backgrounds and skill sets to the table.   Our clients include a variety of financial services firms, including wealth managers, financial planners, private fund managers, and broker-dealers.  Our experts have a blend of “real world” experience in the financial industry beyond compliance including background in legal, business issues, marketing, business development, and human resources.   This background makes us more than a compliance consultant:  we are a partner in the responsible growth of your business.