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  • VCM Compliance Consultants (VCM) is a unique company owned and operated by a former Corporations Examiner with the California Department of Corporations.  VCM was established to provide personal high quality Compliance services to allow Investment Advisors to manage their client’s assets worry-free.

    Due to the financial market turmoil and rapidly-changing regulatory structure, VCM is uniquely positioned to provide Advisors the insider knowledge as to how the current and future regulations will affect their firm and respective practice.  Moreover, VCM will ensure Advisors have the appropriate firm structure to continue to be compliant with the applicable rules and regulations.

    During a face to face or teleconference meeting, VCM will determine the compliance platform that will be the most efficient and cost effective for the entity in order to be compliant with Federal and State Regulations.

    Additionally, VCM will work with Advisors in completing their initial registration, preparing and maintaining financial books and records and providing a risk assessment of their investment strategy.

    Monthly Compliance Consulting

    • Initial Registration of Advisory Firm
    • Preparation of Monthly Financial Books and Records:
      • Balance Sheet
      • Income Statement
      • Bank Reconciliation’s
      • Minimum Financial Net Worth Computation (Net Capital)
    • Client Billing (Monthly, Quarterly)
    • Prepare and File Form ADV Part I
    • Prepare and File Form ADV Part II
    • File Annual and/or Amendment to Form ADV (I and II)
    • Risk Assessment of Investment Strategy and/or client(s) portfolio
    • Advertising Review
      • Website
      • Brochure
      • Business Cards
      • Power Point Presentations
      • Newsletters

    Services noted below may be provided on an individual basis

    • Mock Audit
    • Email Retention
    • Quarterly Newsletter provided by VCM, regarding 
      Industry Trends and Regulations
    • Anti-Money Laundering Compliance Services
    • Independent Representative Services
    • Representation before the Internal Revenue Service and Franchise Tax Board regarding Tax Matters

    None of the above listed services should be considered legal advice. VCM, Inc. does not provide legal advice and may not be considered a Law practice.

    Thank you for your interest in VCM Compliance Consultants.

    We hope to help your firm achieve its compliance needs.

    VCM Compliance Consultants
    13337 South Street, Suite 228
    Cerritos, CA 90703
    Phone: (714) 225-5297
    Fax: (866) 632-4503
    Sergio M. Vidal, Managing Partner

    Email:  sergio@vcmcompliance.com

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