Luxor Compliance
Expert Compliance Support for Financial Firms
We handle your compliance obligations so your firm can stay focused on its business.
Welcome to Luxor Compliance.
Who We Are
Rapidly turn concepts into tangible prototypes in a collaborative, expert-led workshop.
We help financial services firms, including investment advisers, broker-dealers, private fund managers, municipal advisors, and exempt reporting advisers, identify regulatory risks, address compliance gaps, and implement practical solutions.
Inspire your audience with data-driven insights that spark immediate action.
Luxor Compliance is a boutique regulatory compliance consulting firm with a team of seasoned professionals specializing in investment industry compliance.
Exclusive forums where industry leaders swap insights and spark partnerships.
Our team provides customized guidance and ongoing senior-level support, ensuring your firm remains aligned with SEC, FINRA, and state regulations. We focus on actionable compliance strategies, not theoretical concepts, giving your firm the clarity and structure needed to manage complex regulatory obligations.
Our Services
Registration and regulatory filings, including SEC Form ADV amendments
Compliance policies and procedures development and maintenance
Code of Ethics, Privacy Policy, Business Continuity, and Disaster Recovery Plan updates
State-level notice filings and registrations
FINRA IARD administration and related filings (Form U4)
Annual compliance review
Testing of compliance policies and procedures
Documentation of compliance reviews
Updates regarding regulatory changes
Mock regulatory examinations
Employee compliance training and education
Risk assessment and evaluation
Regulatory liaison and examination support
Books and records review
Submit an Inquiry
Provide project details to receive a tailored engagement outline.