Establish a usable baseline
We identify the policy, disclosure, operational, and recordkeeping baselines that should reflect the firm’s actual business today.
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A practical compliance rhythm
Ongoing compliance support that keeps the real firm in view.
Nomos helps small RIAs maintain a documented compliance rhythm: annual planning, periodic review, change-event intake, and practical follow-through on the controls that matter to their business.
Discuss your firm’s needsWhat the workstream covers
A defined engagement, not a generic promise.
A useful ongoing program is not a folder of policies that never changes. It is an operating cadence that connects the firm’s actual business decisions to its disclosures, controls, records, and review responsibilities.
Annual compliance calendar and workplan
Change-event and document-impact review
Annual review preparation and evidence organization
Ongoing questions, project scoping, and implementation tracking
Nomos approach
Start with the actual firm. Then make the work visible.
Run the calendar
Recurring reviews, annual dates, and open items are turned into an accountable rhythm instead of a year-end scramble.
Treat changes as inputs
A new fee, service, person, vendor, custodian, or operating fact is logged and evaluated before assumptions turn into stale documents.
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