Registered Investment Advisory firms such as RCA are required to comply with a set of strict set of SEC compliance standards.

In addition to complying with the Securities and Exchange Commission compliance standards, all credentialed professionals are also required to comply with a code of ethics set up and enforced by industry groups for Chartered Financial Analysts (CFA), Certified Financial Planners (CFP) and Certified Public Accountants (CPA). At RCA, we have a dedicated Chief Compliance Officer who is responsible for overseeing all external compliance issues. Our compliance officer works closely with outside legal counsel.

The bottom line on compliance is that commitments made must become commitments met. While no guarantees or promises can be made with respect to future investment performance, it is extremely important that the firm and all staff members maintain the highest compliance standards. We understand that once customer expectations are set—they must be met.