Outsourced Compliance Solutions
Concierge Compliance, always tailored to your needs.
Your trusted full-service compliance partner, giving you peace of mind and room to thrive in an evolving regulatory landscape.
At LDM, we are the pioneers of Concierge Compliance. Just like a hotel concierge caters to your every need, we offer you a comprehensive, highly personalized experience for your compliance requirements. Our tailored services and holistic regulatory solutions are designed to take your small to mid-sized Registered Investment Advisory (RIA) to new heights.
We redefine the compliance experience for small and mid-sized RIAs with our white glove approach. Our mission is to administer a fully integrated compliance program, offering a personalized experience for your compliance requirements for much less than the cost of hiring or maintaining an internal employee.
White Glove Compliance in a Nutshell
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Increased Capacity
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Increased Efficiency
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Increased Security
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Streamlined Compliance
Do you enjoy dedicating time and resources to compliance?
With over 10 years of experience in the financial sector and wealth management, we have yet to meet an R.I.A. Owner who would answer yes to that question…
LDM Advisory is ideal if you find yourself bogged down with long checklists, compliance software, and calendars to prepare for audits, filings, and reviews.
This is where we step in and excel.
Our founder, Lydia
has extensive experience managing operations and compliance working both inside and alongside SEC-registered advisory firms. Over the past decade, she has worked in various roles in wealth management, as a CERTIFIED FINANCIAL PLANNER handling high-net-worth clients and assisting in the formation and rapid expansion of a large registered investment advisory firm managing over $1 Billion in assets.
Lydia's expertise lies in her dedication to education and staying abreast of regulations such as the Investment Advisors Act of 1940, as well as her strong industry relationships. She has successfully guided numerous organizations through mergers, acquisitions, SEC and state regulatory exams, and business expansion. Lydia takes a unique approach to navigating complexity and is passionate about changing the service model for investment advisory firms and fostering a compliance-focused culture. She is not afraid to explore new territories, challenge conventional practices, and above all, aims to deliver a proactive and collaborative experience to R.I.A’s.
