Fractional compliance leadership and risk management that operates like an internal team.

Execution, regulatory readiness and risk management for SEC-registered advisors without adding headcount.

We handle the day-to-day compliance responsibilities so your leadership team can focus on growth, clients, and the strategic work that moves the firm forward.

At LDM, we embody Concierge Compliance, an elevated and highly personal approach to supporting the regulatory and operational needs of registered investment advisers. Like a true concierge, we manage the details, anticipate needs, and execute the work .

Our white glove approach goes far beyond traditional “compliance” and combines hands-on leadership with practical operational guidance and risk management helping firms build stronger and more scalable infrastructure while avoiding the cost and complexity of expanding and training internal staff.

"As a natural procrastinator, I truly appreciate Lydia’s proactive approach. She keeps us on track, communicates clearly, and make sure nothing slips through the cracks. Her genuine care for our firm gives us confidence and makes keeping on top of our compliance program manageable. I truly value our relationship and trust her completely.”

—Bryce C.
"Lydia and staff! Thank you SO much for all that you have done for our firm so far. We could not have gotten through the last year without your support and guidance. You are a lifesaver. "

—Rhonda H.

White Glove Compliance in a Nutshell

Increased Capacity
Increased Efficiency
Increased Security
Streamlined Compliance

You didn’t build your firm to manage risk or compliance.

LDM helps take the operational burden of compliance off the shoulders of your team.

Our Team

Two women with dark hair and light skin, one sitting on a stool and one standing behind, both wearing black tops and jeans, posing together in a studio with a plain light background.

At LDM Advisory Services, our team brings deep, hands-on experience in SEC compliance, operations, and strategic growth for investment firms. With backgrounds spanning wealth management, consulting, education, and regulatory navigation, we offer a rare blend of technical insight and practical support. Whether you're scaling your firm, preparing for an exam, or building a compliance-first culture, we've been in your shoes—and we’re here to help.

Meet the team →

RIA Compliance & SEC Marketing Rule FAQs

#1-Proactivity
#2-Number of clients and types of clients. Do they serve broker dealers too or are they specializing just in RIA’s? Less is more.
#3- Responsiveness and sense of responsibility for your firm
#4-Expertise- Years of Experience and hands-on experience in RIA’s
#5- Ongoing Support-What do they actually do for you ?
AI-generated marketing content must follow the same SEC rules as any advertisement. Advisors are responsible for ensuring AI content is accurate, not misleading, properly reviewed, and compliant with disclosure requirements. A human need to review all Ai generated content and make sure it complies with the Marketing Rule. Yes, we do this for you.
The SEC advertising rule for financial advisors allows the use of testimonials and endorsements but only if strict disclosure, oversight, and recordkeeping requirements are followed. This rule applies to websites, social media, email campaigns, and video content. consult a professional like us for more on how to approach this.
The SEC Marketing Rule is complex and constantly evolving. While there are general guides available, they often don’t address the specific risks and nuances of your firm’s marketing.
Working with a compliance professional helps ensure you understand the do’s and don’ts around advertising, including how to properly archive communications, use testimonials, and determine what you can and cannot say in marketing materials. Ongoing guidance is key to staying compliant and audit-ready.
Yes, we offer a number of proprietary tools and checklists to our clients and can review your website and provide feedback and answer your questions. Reach out!
Working with a RIA compliance consulting firm should feel like having a dedicated compliance partner, not just receiving templates or one-time advice.
We provide ongoing, hands-on support to help financial advisors navigate complex regulations like the SEC Marketing Rule. This includes reviewing marketing materials, advising on what you can and cannot say in advertising, and helping you stay compliant with recordkeeping and disclosure requirements. Unlike many firms that offer generic solutions, our approach is tailored to your business. We integrate into your day-to-day operations, provide proactive guidance, and help ensure you’re prepared for SEC exams and ongoing compliance obligations.