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Compliance Support that Works for Your Firm

Practical, proactive compliance guidance for independent RIAs — with ongoing support, project services, and expert advice when you need it most.

Supporting Independent and Small RIA Firms

Get to Know Us

Your compliance obligations shouldn’t slow your growth or complicate your day. At Three Lumos Consulting, we work with solo and small Registered Investment Advisers — firms that want straightforward compliance solutions without the overhead of a full-time internal team. Whether you’re scaling your business or keeping pace with regulatory changes, TLC provides guidance that fits your firm’s size and needs.

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Practical Compliance Services — Your Way

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Ongoing Support

Monthly compliance partnership and tailored service programs that keep your firm ahead of regulatory requirements.

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Project-Based Services

Targeted compliance projects, from RIA registration assistance to mock regulatory exams and AML audits.

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On-Demand Advice

 Hourly expert compliance guidance when you need immediate answers.

At TLC, we help you:

Your Compliance Partner — Not Just a Vendor

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Stay ahead of regulatory expectations, not just react to them

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Build and maintain a structured compliance program tailored to how you operate

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Get timely answers, month to month or project by project

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Reduce stress around renewals, exams, and filings

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Insights for Advisers

Let’s Make Compliance Clear and Manageable

Phone

901-209-9749

Email 

Based in the Memphis, TN area – serving RIAs nationally.

Built on Service, Support & Structure

Member, National Society of Compliance Professionals (NSCP)

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