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Rates & Pricing

The price is the price. In writing.

Most engagements are flat-fee. Estimates are written. Bills don't have mystery line items. If you've ever been surprised by a legal invoice, this will feel like a different industry.

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Flat Fees

Most matters β€” examinations, response letters, WSP reviews β€” are quoted as a single flat fee. You see the number before we start.

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Hourly (with caps)

For matters where scope is hard to predict, we bill hourly against an agreed-upon cap. You get a written estimate first and a heads-up before we go over.

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Free Compliance Checkup

Forty-five minutes. We look at your WSPs and recent exam history, then tell you what we'd fix first. No charge, no obligation.

Sample Engagements

What it usually costs.

These are typical ranges, not quotes. Every matter is different. The actual flat fee is in your engagement letter before any work begins.

FINRA exam response letter

Flat fee

WSP review & rewrite

Flat fee

Form U4 / U5 disclosure issue

Flat fee

Compliance program build-out

Flat or capped

SEC investigation response

Capped hourly

Internal investigation

Capped hourly

Books & records review

Flat fee

Compliance checkup (initial)

Free

A Note on Estimates

These are ranges for typical engagements with typical complexity. If your matter involves novel issues, multiple regulators, or unusual urgency, we'll explain why and quote accordingly before you commit. No work begins without a written engagement letter that names a number.

The Fine Print

What's not on the invoice.

A few things you won't get billed for, because they shouldn't be billable.

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    Mystery "research"

    We don't bill for "research" as a line item. Work is described in plain English.

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    Junior-associate learning curve

    You don't subsidize my training. The senior person does the work.

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    Surprise scope creep

    If scope changes, you hear about it and approve it before the work is done.

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    The Friday night panic call

    Existing clients with active matters get a real number that reaches a real person.

Want a number for your specific situation?

Use either intake form. We'll come back with a written estimate within one business day.