Emily Uhle

Comply is a unique registration and compliance consulting firm staffed by industry professionals and ex-regulators that provides you with all the tools that a Registered Investment Adviser will need to be ready to conduct business on Day One. Every investment advisory firm is unique, and only Comply guides you through the entire registration and business planning process, creating customized documents specific to your situation in a timely and cost-efficient manner.

• Creating and amending ADV documents for investment advisor firms. Including requirements mandated by states and the SEC for annual amendments.
• Supporting investment advisors in staying compliant with regulatory requirements.
• Submitting Form U4 for individuals to get registered with an investment advisory firm, and creating and amending the ADV 2B. Reviewing and disclosing any disciplinary issues that the individual may need to disclose.
• Gathering and submitting the required state paperwork to get a firm registered in a state or with the SEC.
• Working with state regulators to provide the required updates and paperwork to ensure registration in the state.
• Knowledge of what is required for a firm in order to ensure that it is properly registered in the state or SEC.

A record retrieval company that works on behalf of defense lawyers, insurance companies, investigations, and gathering private information such as medical records, autopsy reports, school records, employment records, and social security data from medical providers, hospitals, and insurance carriers in the discovery phase of a lawsuit.

• Use of critical thinking skills, intuitive reasoning, and communication skills to handle a caseload of over 400 cases per week while acting as a liaison between the clients and the providers.
• First-rate organizational skills, strong attention to detail, along with the use of interpersonal skills to process requests while working effectively at all levels with clients and front-line employees.
• Researching and fact-finding to verify and assure that the correct provider has been identified, which will result in the correct patient documentation.