Who regulates Sunrise Advisors? Who oversees the firm’s conduct?

The Securities and Exchange Commission (SEC) regulates investment advisers, primarily under the Investment Advisers Act of 1940 (the “Advisers Act”), and the rules adopted under that statute.  Sunrise Advisors is registered with the SEC and is audited periodically to ensure compliance.

Upon reaching certain thresholds, Sunrise Advisors must also register and pay the required filing fees in certain states.

Consistent with the conduct outlined by the Investment Advisers Act of 1940, the firm is duty-bound by their fiduciary obligation to clients.