FrontLine Compliance

Since 2006, FrontLine Compliance has shown top-tier investment firms the strategic and economic advantages of thinking proactively and strategically about compliance. Our consulting services employ a deep-dive, customized approach that is rigorous and irrefutably successful. Our clients enjoy prompt response and ready access to our senior executives. We have a 10-year experience prerequisite for our consultants - they’re former SEC examiners, FINRA investigators and CCOs fluent in Investment Adviser and Investment Company ’40 Act rules, FINRA/SEC regs and compliance technology. See how our first-hand knowledge of compliance rules and regulations become strategy-driven solutions helping you achieve your compliance and business goals. 

Company details



Rockville, MD

Year founded


Company size

2-10 employees


regulatory compliance, investment company compliance, '40 Act compliance, investment adviser compliance, FINRA compliance, private fund compliance, forensic testing programs, SEC mock audits, and complex and diverse investment firms