American Elm Advisors · Portsmouth, NH
Consultingthat Empowers.
Compliance, Capital Markets, and Trust Services for registered investment advisers, broker-dealers, insurance companies, fund sponsors, and trust companies.
Three Core Practices
One firm. Three disciplines. A single standard of rigor.
Why American Elm
We seek to empower our partners to reach their fullest potential.
A customized approach: we assess your goals and provide support in the areas you need most. In conjunction with our affiliate, American Elm Distribution Partners, we stand as a leading managing broker-dealer and versatile multi-product platform.
Significant Experience
Decades of work with fund managers, BDs, RIAs, and insurance companies — applied to reduce risk for your firm and protect your clients.
Collaborative Approach
Best practices are built from the top down. We work across your lines of business so the people who know the process best help shape it — and own it.
Proactive Method
We monitor SEC, FINRA, and state releases so your compliance program stays ahead of regulatory change — not behind it.
Solutions-Focused
No two firms are the same. Our solutions fit your business model — nothing more, nothing less.
Expert Witness Services
Testimony grounded in two decades of regulatory practice.
Led by Partner & Chief Compliance Officer Jessica Murray — member of the Securities Expert Roundtable and 11 Canterbury — our experts provide analysis and testimony for arbitration and regulatory matters across the investment and insurance industries.
Expert Witness ServicesWhy Experience Matters
Expert witness consulting can make a serious difference in your case.
More than twenty years interpreting and applying the rules of FINRA, the SEC, and Departments of Insurance.
Portsmouth, New Hampshire
Under the arch on Congress Street.
Our offices sit in the heart of downtown Portsmouth — 104 Congress Street, Suite 404 — in one of New England's most walkable, historic districts.
Contact Us
Start the conversation.
Please fill out the consultation form and a member of our team will contact you to discuss your needs.
Portsmouth, NH 03801