Wealth Management is Quickly Evolving.
Are you?

Our Aim

To help our wealth customers and their suppliers elevate and serve the best interests of their advisors and investors.

Our Work

A proven sixth man


Interactive thought leadership


Wealth industry news and perspectives






First, we have been helping wealth management firms solve strategy and technology problems since we opened our doors in 2006.

Second, our program is designed specifically for wealth management firms.

The design methodology of our program comes directly from the rules that the SEC, FINRA and states like New York, Colorado and Vermont have, and are, putting in place. Additional principles drawn from other sources such as healthcare privacy rules and the GDPR make sure we align what we do for you with the broadest set of proven practices and technologies.

In the years since our founding, we have become one the most trusted sources of guidance in our market. With the addition of our cybersecurity program, RADAR, we extend that trust further and into the future.

By protecting your path, Beacon lights the way to your success.

Our customers include: banks, insurance companies, independent and regional broker-dealers, registered investment advisors, and the solution companies that support them.

Find out how our services can benefit your company.

Contact Us

The Compliance Roundtable – Austin, TX: Top Ten Take-A-Ways

Tuesday, March 6 2018

Top Ten Take-A-Ways Vendor governance and 3rd party vendor due diligence is a significant challenge for wealth management firms. Firms are committing significant resources, with the goal of adhering to the FINRA Cyber Security Practices recommendations, NIST Cyber guidelines, and . . . Read More

Top 10 Takeaways from February 2017 ComplianceRetreat

Friday, January 5 2018

At last month’s ComplianceRetreat, our focused agenda covered many of the challenges that we all face and try to manage. We’ve summarized the top-ten takeaways from our discussion, led by an outstanding group of Chief Compliance Officers and sponsors who presented case-study solutions.  . . . Read More