Mid-sized wealth manager covered by a major regional SEC office. Exam Ready Prep provided response preparation, management, and strategies which resulted in no material comments. Firm experienced no financial or operational impacts from the exam.

Newly registered wealth manager covered by a major regional SEC office. Exam Ready Prep positioned firm to achieve a successful first exam and be designated “low risk,” putting the firm on a 10-year exam cycle.

Large institutional RIA and Fund Sponsor covered by local SEC office. Exam Ready Complete provided full preparation for staff and management, resulting smooth exam experience and no material comments. Institutional clients and consultants satisfied with result and continue to maintain favorable opinion of firm.

Large RIA and Fund Sponsor covered by a major regional SEC office. Engaged to remediate numerous and serious comments from exam. Implemented efficient workflows and corrective measures to address comments and create shorter turnarounds for compliance approvals. Exam staff sufficiently satisfied.

Extensive experience with real estate investing for regulated and unregulated REIMs.  Advised owner operators and vertically integrated businesses on the structuring of deals involving direct and indirect investing, credit, and infrastructure assets to maximize capital formation and minimize impact of regulatory requirements.  Coordinated fund formation and distribution for private funds, interval an open-end funds, and public funds for institutional and retail investors.  

Coordinated the merger of growing wealth managers to create a single boutique platform with meaningful AUM.  Migration strategy retained 100% of clients with no on-boarding friction for clients or operations.  Optimized operational workflows and regulatory profile to reduce duplicative costs and accommodate scale without additional overhead.

Partnered with Board of Directors of development organization to plan and facilitate a vital strategic plan to transition from start-up to growth by formulating an executable vision to increase AUM by 10x in 5 years.  Strategic plan simplified decision-making to emphasize capital raising and deployment, and clarified and initiated mid-term and long-term objectives.  Harmonized disparate perspectives between and among the Board, management, and public stakeholders.  Reignited a governance framework to provide intuitive and efficient decision-making. 

Partnered with CEO to improve how they demonstrated a mature executive presence and overcome communication challenges with the Board and other stakeholders.  Provided critical mediation and translation, creating alignment with Board and strengthening relationships.  Implemented concise and effective board reporting.  Advised on refined organizational structure to align skills and work-styles across a diverse portfolio of initiatives.  Board renewed endorsement of CEO and their strategic plan.

Performed expedited due diligence on global investment firm that was a high-value acquisition target.  Analyzed, evaluated, and summarized operational and financial reporting workflows and efficiencies, distribution platform, and institutional investing.  Due diligence informed deal pricing and terms.  Harmonized policies and regulatory footprint, ensuring a seamless integration upon acquisition.

Structured public and private fund launches, mergers, and conversions across multiple assets classes and global distribution channels, including hedge funds, PE / VC funds, real estate funds, mutual funds, ETFs, CITs, BDCs, REITs and UCITS.  Built operational workflows for first-time fund managers, leveraging the strength of existing frameworks resulting in efficient and smooth launch and servicing.

Structured the formation of new advisory businesses for financial advisor team lift-out.  Provided practical guidance on entity structuring, critical operational systems, registration strategies and right-sized compliance profile.  Quick and phased formation approach resulted in launch ahead of schedule, with a smooth transition for clients and owners.

Independent review engagements for adviser and fund complex to satisfy annual compliance reviews (Rule 38a-1 and Rule 206(4)-7 requirements), and annual AML program review.  Engagements were scoped and documented to provide clear and concise reporting to the Board and management, and provided resource expansion for internal compliance team.

Revised and developed operational workflows to support service expansion.  Transformed fund manager operational model to begin servicing retail channel offerings (SMAs).  Workflow analysis and revisions resulted in compressed costs and timelines and increased service quality.

Planned and implemented global team migration and integration for second-line functions at publicly traded professional services firm.  Integration identified and strengthened managerial skills of regional leaders, as well as their alliances across matrix reporting.  Project included system migrations and communication strategies across diverse organizational and cultural perspectives.  Improved performance reviews and no departures within 12 months of integration.

Partnered with non-profit Board to facilitate the delicate and time-sensitive transition of the executive leader from founder to a new external hire.  Transition included negotiating separation and legacy terms, and supporting the incoming executive in the development and implementation of new strategic plan, resulting in an increase in revenue and clients within 12 months.

Serve as outsource executive (CCO, COO, or CFO) for investment firms across multiple asset classes and models (wealth manager to institutional manager).  Provide experienced and institutional quality executive leadership and bespoke execution and oversight of the compliance, risk management, and operational programs.   Serve as CCO for real estate investment firms, wealth managers, private funds, mutual funds, ETFs.  Served as interim CFO for lending organization and non-profit to provide continuity during organizational restructuring.  Outsourcing can result in cost savings of > 50%. 

Design, implement, and evaluate internal control programs for compliance, operational risk management, AML, and investment activities.  Provide bespoke consulting to implement the program best for the organization, given the business model, clients, and priorities.