647.502.5113

Our Services

Process

How we work

Alchemy Theorem is able to determine regulatory challenges by conducting a thorough review of the advisor's book of business and comparing potentially questionable behavior against securities regulations.  If we discover any regulatory deficiencies, we review applicable regulations and formulate a best practice that will maintain efficiencies while remaining compliant.

At Alchemy Theorem our goal is to help financial service participants know they are protected.

  • 1
    Entrance Meeting

  • 2
    Onsite Review

  • 3
    Reports

  • 4
    Exit Meeting

Due Diligence

We truly believe that the foundation to implementing the correct solution is derived from understanding the problem.

Reputational Risk

It is always better to be safe than sorry, your reputation is everything!

Succession Planning

Follow the yellow brick road – In order to know where you are going, we must understand where you have come from.

Transition Planning

Whether you are evaluating your book of business or ensuring that you are operating within regulatory expectations, we can help!