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“I retained Tom Kane to review certain areas and services at my business and to provide concrete recommendations for improving these as well as cutting costs. I was most impressed with Tom's effectiveness in getting to the heart of the issues at hand and how best to resolve or enhance these going forward. He also identified a number of ways to save costs, which is so vital to business owners such as myself. Finally, I was struck by Tom's resourcefulness, abundant people skills and strong ethics. I would recommend Tom Kane in a heartbeat.”

—Victoria J. Baker
Principal & Founder
Victoria Baker Enterprises

Compliance, Risk Management & Corporate Governance

Why This is Important to You

The regulatory environment for financial advisors and the advisory business has never been more tumultuous, onerous and risk laden as it is in the wake of 2008 - 2009 global economic meltdown.

Financial services companies from every corner of the industry are feeling the pain and waiting with wonderment and confusion to see in what direction the public and regulatory winds will blow.

One thing is for certain, the level of regulation will increase and so too will the risk of you having your career implode by simply missing one subtle nuance, insight or regulatory shift.

The wealth management industry, along with their banking counterparts are clearly caught in the middle of this maelstrom, as regulators vie to expand their turf and the boundaries between agencies blur.

The need for skilled insight and help with reading the tealeaves has never been more important to you or your organization.

Do you really feel safe shouldering this responsibility alone?

How We Work With You

We work closely with our wealth management clients to develop compliance strategies that respond to the changing shape of our industry. We work with you to put the necessary systems, technology and safeguards in place. This coupled with our hands-on mentoring enables you to confidently carry out your compliance and governance duties and obligations.

Specifically, the following are some of the ways we help firms like yours:

  • Establishing a broker-dealer and / or an RIA
  • Developing and tailoring written supervisory procedures and tools for executing against those procedures
  • Conduct compliance due diligence on potential broker-dealer and RIA acquisitions
  • Prepare for successful regulatory audits through mock exams
  • Audit compliance framework, processes and procedures to identify gaps and opportunities (before the regulators find them)
  • Review sales literature and advertising review and approval procedures and identify efficient methods for ensuring continuing compliance
  • Review your operation controls

What This Means For You

  • Peace of mind knowing that industry specialists have reviewed and revised policies and procedures to ensure you are in compliance
  • Career continuance, as compliance and regulatory issues in wealth management frequently derail the most well-intentioned advisors and managers
  • The self-assuredness that comes with knowing those responsible for monitoring and controlling the compliance function have been thoroughly mentored and vetted
  • Peace of mind that comes with receiving objective interpretation of current and proposed regulations and legislation with strategic insight into ramifications and tactical advice for creating systems and procedures to ensure compliance
  • Improved profits as your compliance partners have strong sales backgrounds and keen eyes focused on optimizing the sales and compliance balance
  • Reduced expenses as cutting-edge technologies and sophisticated processes allow you to do more with less
  • Reduced expenses through outsourcing technical compliance functions and filings to experienced individuals that do not become a payroll fixture

Who Will Help You

Kane Carlton is a consortium of the best and brightest talent in the wealth management industry. This confederation of seasoned professionals combines decades of practical experience in highly specialized disciplines with a no-nonsense, innovative, results driven focus with a singular mission - to help you.

Tom Kane

Thomas C. Kane, Founder and Chief Transformation Strategist

Learn more about Tom and how his 35 years of practical experience in financial services can help you.



Why Kane Carlton

We help our wealth management clients make informed decisions by providing them with research, competitive intelligence, best practices and innovative, objective solutions designed to reduce costs, increase revenue and stay competitive. Yet, unlike pure consulting we pride ourselves on being on the field and in the game with you, focusing on implementing the work product we create.

We understand that the thin line separating a flourishing career from unemployment and a thriving franchise from a failed business is a combination of the decisions you make. So make your first decision the right decision—decide Kane Carlton.

Learn more about our firm and how we help advisors and advisory practices optimize results in the delivery of wealth management products and services.

Who We Have Helped

See a partial list of people and firms that we have helped.

Where You Begin