We break compliance failures down into three main reasons:               

• Not doing something you represent you are doing

• Not doing something you should be doing                   

• Technical compliance issues                                        

The first is easy to remedy; the second requires broad regulatory and compliance knowledge; and the third requires an experienced regulatory expert.

We have over thirty years of SEC and regulatory experience working with a variety of investment advisers, private funds, private equity funds, venture capital funds, and mutual funds — We are your expert.

You always work with the senior expert

At large compliance firms, your account may be managed by a junior analyst who has never faced an examiner. At Moran Compliance, every call, review, and recommendation comes directly from a former SEC examiner and CCO. That’s not a marketing line — it’s simply how we operate.

We know what examiners look for — because we were one

Having personally conducted over 150 SEC examinations, we understand the specific documents, disclosures, and practices that draw scrutiny. That knowledge shapes every compliance program we build and every exam preparation engagement we run.

Boutique accountability, national reach

Based in Philadelphia, we serve clients from coast to coast. Our boutique model means your compliance program gets genuine attention — not split focus across hundreds of clients.