Compliance-Driven HR for RIAs
Wealth Management HR Solutions
FINRA background checks, SEC-aligned fiduciary HR policies, and advisor retention strategies for RIAs, family offices, and wealth management firms in the US.
- Serving all 50 states
- Certified HR practitioners
- Since 1958
Wealth Management HR Challenges
HR Challenges Unique to Your Industry
- 1FINRA U4/U5 background checks and disclosure review for registered advisors
- 2SEC and fiduciary obligation aligned HR policies for all staff
- 3Non-solicitation agreements protecting AUM and client relationships
- 4Recruiting and retaining CFPs, CFAs, and experienced wealth advisors
- 5Complex compensation structures including fees, bonuses, and equity
- 6Background checks and financial history screening for all client-facing staff
- 7Multi-state registration and compliance for advisors serving clients across state lines
Catapult Solutions
How Catapult HR Helps
- FINRA U4/U5 background checks and disclosure management for registered advisors
- SEC and fiduciary obligation aligned HR and conduct policies
- Client non-solicitation agreements for advisors and client service staff
- Competitive compensation benchmarking for CFPs, CFAs, and advisory roles
- Background checks and financial history screening for all client-facing employees
- Multi-state advisor registration compliance support
- Employment law guidance and HR compliance audits
By the numbers
Why wealth management HR needs a specialist
30 days
Deadline for a firm to file an initial Form U5 with FINRA after a registered person leaves
17,100
Openings for personal financial advisors projected each year, on average, from 2025 to 2035
$105,070
Median annual wage for personal financial advisors, May 2025
What we do
HR Services for Wealth Management Employers
Expert support across the HR functions that matter most to your industry
ComplianceFINRA Background ChecksU4/U5 background checks, disclosure review, and financial history screening for registered investment advisors.Learn more →
ComplianceClient Non-Solicitation AgreementsAUM-protective non-solicitation and client transition agreements for wealth advisors and service staff.Learn more →
HR ConsultingAdvisor Compensation BenchmarkingCFP and CFA compensation analysis to retain top wealth management talent.Learn more →
ComplianceSEC-Aligned HR PoliciesFiduciary obligation aligned HR conduct and disclosure policies for RIA employees.Learn more →
ComplianceEmployee HandbookWealth management handbooks covering fiduciary obligations, client confidentiality, and compliance conduct.Learn more →
ComplianceHR Compliance AuditFull HR audit for RIAs and wealth management firms against SEC, FINRA, and state employment standards.Learn more →
What members say
“Catapult has the answer to everything HR. They were very helpful to us for an issue we needed an answer to quickly. Our members use them as well and have had their issues resolved.”
HR Built for Wealth Management, Protecting AUM, Advisors, and Compliance
Our practitioners understand FINRA compliance, fiduciary HR policies, and the advisor retention challenges unique to RIAs and wealth management firms.