Fractional Compliance | RIA Specialists
Pree Quinn LLC delivers senior-level compliance leadership to registered investment advisers — fractionally, precisely, and on your terms.
About Pree Quinn
Pree Quinn LLC was founded by a former banking SVP/EVP with deep roots in risk management oversight, internal audit, BSA/AML, and fraud prevention. We bring institutional-grade expertise to registered investment advisers who need more than a checklist — they need a trusted compliance partner.
We work fractionally because the best compliance work doesn't require a full-time hire. It requires the right person, engaged at the right depth, at exactly the right time.
CFE · CAMS · CFIRS | Founder, Pree Quinn LLC
"Excellence in compliance isn't about having a compliance officer on staff. It's about having the right expertise engaged at the right moment."
Tamika Fleming · Founder, Pree Quinn LLC
What We Do
From routine regulatory filings to high-stakes audit support, Pree Quinn delivers the expertise your firm needs — without the cost of a full-time CCO.
Ongoing oversight and management of your RIA's compliance program — policies, procedures, and annual reviews.
Accurate, timely preparation and submission support for your most critical regulatory obligations.
Risk-based internal audit and compliance testing designed to surface issues before regulators do.
Expert guidance on Bank Secrecy Act and Anti-Money Laundering obligations — from program design to issue validation.
Senior-level compliance leadership on a retainer basis — all the expertise of a Chief Compliance Officer without the full-time cost.
Certified fraud examination expertise applied to your firm's risk environment — identifying vulnerabilities before they become losses.
Who We Serve
Emerging & Growth-Stage RIAs
Firms under $500M AUM building a compliance infrastructure that scales — without the overhead of a full-time hire.
Mid-Size RIAs Seeking Expertise
Advisers managing $500M–$2B who need deeper expertise than their current compliance resources can provide.
Minority & Women-Owned Firms
Purpose-driven firms who want a compliance partner that understands both the regulatory landscape and their mission.
Firms Preparing for Examination
RIAs with upcoming SEC or state examinations who need seasoned, hands-on preparation support — fast.
Our Process
A structured onboarding process that gets us integrated with your firm quickly — so you're protected from day one.
We learn your firm's structure, current compliance posture, and most pressing gaps.
We present a clear engagement scope with retainer structure and deliverables.
We review your existing policies, filings, and controls to establish a baseline quickly.
Monthly retainer engagement with structured deliverables, reporting, and direct access.
Get in Touch
Tell us about your firm. We'll follow up within one business day to schedule a no-pressure discovery call.
Prefer email? Reach us directly at hello@preequinn.com