Swayze Llc

Swayze provides relevant, timely, and concise advice to help clients maintain compliance consulting while meeting business goals. Their clients include a variety of financial services firms, including wealth managers, financial planners, private fund managers, and broker-dealers. Their experts have a blend of “real world” experience in the financial industry beyond compliance, including on-the-ground background in legal, business issues, marketing, business development, and human resources.