Simplify Compliance & Focus on Your Clients

Gain Expert Compliance Support for Your Firm

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✓ More Time with Clients

Less Time on Regulatory Updates

Don’t like dealing with compliance? With Capstone, you don’t have to.  Our in-house compliance experts become a part of your team.  We’ll take the compliance piece off your plate, and provide experienced guidance throughout.

✓ Stay Current on New Regulations

We follow the latest regulatory changes so you can clearly evaluate all your options within a team-based environment. Our team monitors updates from the SEC, FINRA, and DOL for Broker/Dealer, RIA, fees, compliance requirements, and cybersecurity

Comprehensive Compliance Services to Keep You Protected.

  • New Business

    Trade submissions, alerts, and reviews.

  • Trade Monitoring

    Post-trade review, error flagging, and resolution.

  • Email Review

    Surveillance and archiving from Smarsh.

  • Compliance

    Consolidated attestations and correspondence reporting.

  • Continuing Education

    Training to satisfy industry requirements (through RegEd).

  • Employee Monitoring

    Track outside business and personal trades (through RegEd).

  • Annuity Help

    Research and compare annuities.

  • Alternatives

    Get training and information on alternative assets.

  • Licensing

    Easily file and update your U4 and U5 filings for FINRA.

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“Focus on being productive instead of busy.”

— Tim Ferriss