Testimonials "Beth, the SEC just left our office. They said the documents you prepared for us get an 'A+'! We can't thank you enough and are so pleased to have you on our team!" - Michigan. "My broker/dealer's compliance department told me to call you for help in setting up my RIA...they said you were the best in the world." - Missouri. "I just wanted to thank you for referring me to Beth Dickinson at Dickinson Regulatory Alliance. She has been great to work with and has saved me from jumping out the window several times. It is a pleasure to work with someone who knows what they are doing so I can get to work at my job. The forms from her office are very professional and much more comprehensive than anything I would have been able to create myself. She is able to make a sole proprietor look like a large well-established organization, and she did it very quickly, which I appreciate very much." - Spokane, WA Email to custodian (copy sent to DRA) "The State of Ohio audited me. They called in advance and told me to set aside the whole day, possibly two days. The Examiner came in and spent only 2 1/2 hours in our office! She told me the ADV and the documents you prepared were incredibly clean and well written. I can't thank you enough for your thoroughness and for going through our books and records set up. We are so grateful!" - Ohio "It is always a pleasure to receive from our reps each ADV you have prepared!" - Compliance Officer of nationwide broker/dealer. "DRA is the best in the country. Beth Dickinson is who I direct all my tough questions to and she is just great to work with." - Attorney, nationally known speaker and author on the topics of compliance and practice management "She's the ADV expert - When I have a question, I ask her!" - SEC examiner overheard by Client talking to his partner during an audit of our client's office. (1996) "I don't want to work with anyone else." - ERISA Attorney  "The key to our success is having the right compliance firm on annual retainer and keeping them happy with us. We don't know where we would be without you. Are we paying you enough?" - Michigan"Thank you for all of your help in making this a flawless process." - RIA/CPA "Thank you for your pre-audit last minute review time you spent in our office. Although we weren't previously clients, you identified a number of areas where corrective action was needed. When the SEC auditors arrived, they addressed only four of those areas and we were fully prepared for handling the situation!" - New Annual Retainer Client "Thank you for being so nice to me through all of this. I don't know anything about this stuff and you are always so patient." - RIA Office Manager "Send me an Engagement Letter. You come highly recommended by my OSJ and others you've worked with. I am only working with you." - North Carolina "Thank you for listening to me and analyzing my needs, then taking the time to review my paperwork rather than just talking to me for five minutes then telling me how much it's going to cost me." - Texas "Thank you for taking such good care of us." - Long-term Client "My broker/dealer said I should call on you since you are the expert." - Kansas "There is a compliance firm located right here in town but we started our ADV with them once and now we know we would rather go cross-country to work with you!" - Florida "You got us up and running and know everything about our business. You have taken the time to get to know who we are and what we do. There are cheaper firms out there but you get what you pay for- and sometimes even less. We will never go anywhere else." - Missouri "I have to think of some more things for you to do for our firm just so we can keep working together!" - California "We are so happy to have found you and have engaged you to work on behalf of our association of members. We couldn't be more pleased!" - Fax from new Client, on behalf of nationwide organization "I contracted with another compliance firm for my new RIA registration. I haven't seen my ADV yet but the contracts they sent me were not to my liking. A friend of mine in Oklahoma shared the ones that you prepared for her firm. I am so sorry I didn't work with you first. Can you prepare contracts for my firm? Whatever your proposal is, I accept!" - New Client, New York City "The State Examiner said my ADV was the best put-together document he has seen in a long time" - Colorado "We couldn't have dealt with the Regulator directly on this like you did. You got this matter handled incredibly quickly and got the resolution underway. What a difference to have a 'buffer' on this Cease and Desist matter." - Ohio "I previously paid a consultant several thousand dollars a year to be on retainer. He was abrasive and did not provide me with detailed conversations to address my questions. Beth Dickinson spent more time with me in her initial return phone call than my previous consultant spent me in one year. I wasn't even a client yet, but I will be now. She took the time to get to know me to ensure our needs would be addressed and to determine services that might be appropriate." - Minnesota "Thank you for taking the time to talk with me about my proposed new advisory firm. I did not have a comfort level with the previous three compliance firms I had talked to. You took the time to put things in prospective and I have a greater understanding of registration and compliance now. I will look forward to working with you!" - California "We just received our document package and couldn't be more delighted. Thank you so much for taking the time to really get to us and our advisory business. The documents you prepared, even the sample client agreements, reflect the care and attention you took to ensure they were individualized for us. We expected the sample agreements to be sample templates - we like the samples just as they are. Thank you, thank you!" - California  "Our broker/dealer compliance department just called. They asked if they could use our ADV as a training sample - because it's the best they've seen. We thought we better check with you first since documents are only for Client use. Please give us a call." - Michigan"Wow! I received my package and it's a work of art. I never could've put out documents like this. Thank you so, so much." - Client telephone message, Michigan "I am so happy that I can call a one-stop office and speak to you on regulatory compliance and David at Stony Point on Practice Management and Second Opinion services. This is just a terrific arrangement." - Michigan "My broker/dealer's compliance department told me I need to have your firm prep our Form ADV." - Delaware "We send all firms looking to get registered to Dickinson Regulatory Alliance because we always hear rave reviews about the work completed and how people are directed through the regulatory process with gentle patience and guidance." - Email from Broker/Dealer compliance firm. "Beth, you are so easy to work with and you take the time to explain things that are important to our business. The last compliance guy I talked to last month on an NASD matter was so condescending; I had to let him have it. I couldn't believe how he treated me. We just really appreciate you!" - Michigan "I just called to tell you how happy we are with the ADV re-write you did for us. We are actually getting compliments on our ADV Part II! That's never happened before." - Voicemail message from newer client after SEC audit. "I have had a chance to review the ADV Draft you sent us this week. BRAVO!" - Michigan "I can't believe it - the State was printing up my revocation when we hired you and stopped the process. I wouldn't be in business today if it weren't for your help." "Thank you again so much for getting me out of trouble with the regulator. I couldn't have done it alone" - Idaho |