Consulting services

PortfolioAid is a trusted adviser to Canada’s leading investment dealers and its financial regulators. As a compliance center of excellence, our consulting services bring out the best compliance capabilities in our clientele.

Solutions for investment dealers

PortfolioAid is the market leader in regulatory compliance solutions for investment dealers in Canada. Since 2001, we’ve been developing functional and industry expertise through delivering real solutions for the industry’s compliance challenges. We share our clients’ concern about the unprecedented simultaneous combination of regulatory burden and pressures on cost efficiency. We are passionate about resolving this urgent challenge and improving outcomes for dealers, advisors, investors, and the country.

(Pyramid after Conley, 2007)

(Conley, 2007)

We are a center of excellence

PortfolioAid has assembled a team of experienced individuals with integrity, creativity, and the ability to work with people at all levels in an organization. We are a team of finance industry professionals bound by a shared set of values and a culture of trust and respect.

We believe in the company’s mission “to improve integrity and efficiency in the investment industry through consulting services and ground-breaking software.” PortfolioAid sees its mission as one of transformation, and aim to perform at the very top of the “customer pyramid.”

To that effect we not only advise dealers, but as an IIAC affiliate member we sit on a number of IIAC committees and working groups. We also count National Self-Regulatory Organizations and provincial regulators among our clients.

Believing that all stakeholders at an investment dealer want to be compliant, we nurture the capabilities of our clients and foster lasting cultural changes. By focusing stakeholder urgency upon a strategy, and by shepherding clients through needed changes in capabilities, PortfolioAid helps clients build an appreciation for compliance realities, find agreement on approaches, and establish innovative and cost-efficient practices. This leads to streamlined compliance practices, workflow that serves people (not the other way around), and better risk management for you and your clients. The lasting result is a vibrant and productive culture of compliance.

PortfolioAid is routinely asked to advise on:

  • Designing solutions for upcoming regulatory changes that suit organizational structures and departmental priorities.
  • Defining a standardized risk ratings regime sufficient to the needs of advisors, compliance, and research departments.
  • Designing intelligent ways of minimizing compliance workload, including industry best practices.



As a technology solutions provider, PortfolioAid appreciates the importance of the IT function to the success of business systems integration initiatives. PortfolioAid consults with IT on practical matters such as data quality, integration with back office and carrying broker platforms, planning the implementation project, and training users.

We also show clients how to solve challenges in decision making. Working with leading investment dealers, we have developed extensive reporting capabilities that deliver the business intelligence required to identify trends, find emergent risks, and report on successes. Our tools leverage compliance data to provide intelligence at the advisor, branch, and firm level.