ClearView Regulatory Compliance is a boutique consulting firm founded by Andrew Schuster, a former SEC Exam Manager with 28 years in the Securities and Exchange Commission’s Division of Examinations. Having supervised or participated in more than 500 examinations of registered investment advisers, hedge funds, private equity firms, and mutual funds, ClearView was built to deliver compliance insight grounded in real regulatory methodology.

ClearView’s core offering is the mock SEC examination. These engagements are not checklist reviews or generic gap analyses. They are structured to replicate how actual SEC exam teams scope risk, prioritize document requests, conduct testing, evaluate controls, and draft deficiency findings. The objective is straightforward: identify regulatory vulnerabilities through the same lens examiners use before the regulator arrives.

Services include mock examinations, regulatory risk assessments, marketing rule testing, and targeted second-eye engagements for advisory firms and consulting partners. Reviews are risk-based, evidence-driven, and designed to produce practical remediation steps that strengthen governance and operational discipline.

ClearView serves SEC-registered investment advisers seeking exam readiness, institutional-grade rigor, and an independent former regulator’s perspective. The firm’s approach reflects decades of frontline experience evaluating compliance programs across firms of varying size and complexity.

Compliance is strongest when assessed the way regulators assess it. ClearView brings that perspective into focus.