About Us
Our Mission
Our mission is to provide investment advisers with peace of mind with respect to their compliance programs so that they can do what they do best – manage money and care for their clients.
As an investment adviser, we understand that you want your primary focus to be on managing money and providing your clients with excellent service. Too often, however, we find that your attentions are diverted from these efforts by staying abreast of every changing regulations. We provide regulatory compliance solutions designed to meet your specific needs to allow you to focus on what you do best.
We work with our clients to help them create and maintain comprehensive compliance programs based on the unique structure of their business. We work with both new firms, assisting them with investment adviser registration and setting up their compliance programs, and with established firms, supporting the CCO in making regulatory filings, maintaining the compliance program, keeping abreast of new regulation, and preparing for regulatory audits.
Krista S. Zipfel, Our President & CEO
Krista S. Zipfel, CFA, President and CEO
Krista S. Zipfel, CFA is President and CEO of Advisor Solutions Group, Inc. Krista has over 25 years of experience working with investment advisers across all sizes, asset classes, and types of clients served. She currently serves clients providing ongoing consulting to create and maintain effective compliance programs. She is a regular speaker at numerous regional and national conferences.
Krista began her career in 1994 with Palley-Needelman Asset Management, Inc. During her 8 years at Palley-Needelman, she went from serving as a portfolio administrator and database administrator to completing her MBA, earning the CFA designation, passing the Series 7 and 65 exams, and becoming a Portfolio Manager and Director-Managed Account Operations. She later served as Managing Director for Finance 500 Advisory Services, Inc. and was responsible for all aspects of the firm’s operations and compliance program.
In 2003 Krista founded Advisor Solutions Group, Inc. (ASG) after a decade of working for registered investment advisory firms ranging from $50 million to $5 billion in assets under management, serving both retail and institutional clients. She grew the firm from a solo practice to a team of 9 and supported over 200 RIA firms with their compliance programs. She helped advisers get registered, create compliance programs, and keep their programs current with changes in the business or regulations. Krista joined Focus 1 Associates, LLC in 2018 as Director to focus her time on serving the compliance needs of investment advisers. In 2022, Focus 1 merged with ACA Group and Krista became a Director at ACA. In 2024, Krista returned to serving clients through ASG.
During her career she has been involved in in the examination process in both a firm and consultant role. She has prepared and submitted hundreds of regulatory filings. She has worked in the areas of compliance, portfolio management, client service, marketing, research, portfolio administration, operations, trading, and accounting. She has provided valuable advice to CEOs, Presidents, CIOs, portfolio managers, analysts, and administrative and operational staff and understands an RIA’s organization and compliance needs.
Krista graduated Summa Cum Laude with a BA in Management and Business Administration from Pacific Christian College. She holds an MBA with a Finance emphasis from California State University, Fullerton. She holds the Chartered Financial Analyst designation from the CFA Institute.
Krista is a member of and past Board of Director for the National Society of Compliance Professionals (NSCP); she continues to serve on NSCP’s Financial Committee. She is a member and Past President of the Southern California Compliance Group (SCCG). She is a frequent speaker on regulatory topics at NSCP, CFAOC, IAWatch, and other events. She is a member of the CFA Institute, a member and former president of the CFA Society of Orange County (CFAOC). She is the founder and former chair of the CFA Society of Orange County Foundation (CFAOCF).