Introducing OCCO-Lite: Compliance Without The Headache

Compliance shouldn’t come at the cost of your capacity to run your firm.

As an RIA, you went independent for freedom—not to be buried in checklists, audits, and regulatory stress. That’s where AdvisorLaw’s new OCCO-Lite service comes in. It's a streamlined solution built for entrepreneurial advisors who want comprehensive compliance support without bloated costs or rigid templates.

What is OCCO-Lite?

OCCO-Lite is AdvisorLaw’s affordable outsourced CCO service designed for RIAs who want to stay ahead of compliance without being overwhelmed by it. 

Here’s what you get:

• a dedicated senior compliance analyst serving as your CCO designee
• attorney oversight from a team of experienced securities lawyers
• full access to our proprietary Nexus™ compliance platform
• support that adapts to your firm’s structure—not a cookie-cutter model

Our OCCO-Lite clients want to grow—not to get stuck managing regulators, policies, and procedures. 

• stay proactive, not reactive
• gain clarity and confidence in your compliance standing
• free up your time for actual advice, growth, and client service
• receive support from people who get it—former regulators, attorneys, and compliance professionals with a deep understanding of the advisory space

Unlike some compliance vendors that force you into a rigid system, OCCO-Lite is a flexible, strategic tier that’s tailored to real-world advisory businesses. We know that every RIA is different—and we work with you to support your unique goals and structure.

OCCO-Lite is innovative compliance—without compromise.

Let’s take compliance off of your plate so you can focus on what matters most: your clients, your growth, and your vision.