Human Resources Assessment


If you are an advisor who has recently hired an Associate Financial Advisor or other support staff, we strongly recommend that you have an HR Assessment completed to ensure that your practice is in compliance with state and federal laws. In addition, you will be confident that you are following protocol and best practices as an employer.

Our HR Experts can fill the void for financial advisory practices who are not quite confident in all of the HR requirements. We complete a detailed end-to-end assessment of your HR situation and provide detailed, actionable advice for how to bring your practice into compliance, as well as strategies for finding, onboarding, compensating, incentivising the right types of talent that you need to move your practice forward.