Adviser Registration and Compliance Program Setup
Registration filings, compliance manuals, policy implementation, service-provider guidance, cybersecurity, and initial firm-wide training.
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Our Services
We help investment advisers and fund managers build practical, durable compliance programs that support growth and reduce risk.
Discuss your needsWhat We Do
Our Core Services
Ongoing Compliance Support
Annual reviews, personal-trading monitoring, training, regulatory advice, marketing-material reviews, filings, and SEC exam support.
Explore supportSpecialized Compliance Support
Outsourced CCO services, NFA/CFTC compliance, mock exams, diligence, fund launches, emerging-manager support, and post-acquisition reviews.
Explore supportWe provide compliance support for registered investment advisers and exempt reporting advisers.
Adviser Registration and Compliance Program Setup
- Prepare Form ADV and related filings, including Form U-4 as applicable.
- Provide guidance on regulatory requests and IAR licensing.
- Prepare a Compliance Manual.
- Assist with policy and procedure implementation.
- Provide guidance on service providers.
- Assist with cybersecurity policies.
- Provide initial firm-wide Advisers Act training.
Ongoing Compliance Support
- Develop and enhance compliance infrastructure.
- Conduct annual reviews of compliance programs.
- Monitor personal trading.
- Provide firm-wide compliance training.
- Provide regulatory updates, consultation, and advice.
- Conduct in-depth reviews of marketing materials.
- Support regulatory filings, including Forms ADV, PF, and 13F.
- Provide SEC exam support.
Specialized Compliance Support
- Outsourced Chief Compliance Officer services.
- NFA/CFTC Compliance Program setup and ongoing support.
- Strategic SEC exam support.
- SEC mock audits.
- Operational and compliance diligence.
- Fund launch services.
- Tailored emerging manager compliance support.
- Post-acquisition compliance program review.
Experienced leadership
Practical, senior-level guidance.
We work alongside firms that need clear regulatory direction, strong operational controls, and a compliance partner who understands the realities of running a fund or adviser business.