Exam Ready Bootcamp

For Registered Investment Advisers and Private Fund Managers who want to increase their confidence and readiness for their next SEC exam and minimize the cost and business disruption when it happens.

Feel Confident and Ready through Personalized Guidance and Productive Workshops

The Exam Ready Bootcamp prepares Registered Investment Advisers to:

  • Respond to an SEC examination will less stress and disruption to the business

  • Have confidence in the outcome of the examination

  • Have peace of mind for compliance, management, clients, and stakeholders

  • Identify and remediate potential problem areas

  • Receive customized and expert guidance for your firm

  • Implement an action plan

Exam Ready Bootcamp

5 Consulting Sessions and 4 Intensive Workshop Sessions developed and led by Rob Tull.

Rob provides personalized and practical guidance to each firm, sharing his 25 years of expertise and insight, including as a former SEC examiner and Chief Compliance Officer.

Participants in the Exam Ready Bootcamp will:

  • Create a customized readiness assessment and preparation plan

  • Develop a precise understanding of document request list, including production considerations

  • Prepare management and your firm for the firm’s internal response, including interview coaching

  • Identify and respond to hot topic and potential risks covered during examinations

  • Master your “day 1” presentation and learn the keys to establishing a productive and cooperative rapport

  • Prepare an effective response letter plan

  • Remediate current gaps and maintain your readiness

  • Get personalized guidance that fit your firm, personnel, and systems

  • Get valuable templates and resources

The Exam Ready Bootcamp is for:

  • Registered Investment Advisers

  • Wealth Managers

  • Registered Family Offices

  • Private Fund Managers

  • Mutual Fund Advisers and Sub-Advisers

  • ETF Fund Managers

Your Expert Guide

Rob Tull | Founder and Managing Director

Rob is a former SEC examiner and Chief Compliance Officer with over 25 years and hundreds of regulatory examinations worth of experience. He is a subject matter expert and thought-leader who is passionate about helping firms and compliance and risk management professionals navigate complex regulatory and business issues, and achieve strategic and personal goals.

Rob has been at the forefront of educating and mentoring compliance and risk management professionals, helping them find sustainable solutions within resources, energy, and time constraints.

Rob’s value goes beyond the regulatory and technical expertise that comes with years of regulatory, in-house, and consulting experience; he guides and nurtures the growth and development of the whole person to have a more rewarding and fulfilling career and life.

Next Exam Ready Bootcamp

Thursday, April 10, 2025 and Friday, April 11, 2025, and

Thursday, April 24, 2025 and Friday, April 25, 2025

Online from 11AM ET (8AM PT) until 3:30PM ET (12:30PM PT)

Reserve your spot; capacity is limited. There is no cost or fee to reserve your spot.

Enrollment in Bootcamp Includes:

  • Onboarding Session

  • Readiness Assessment and Plan

  • Bootcamp Prep Session

  • Bootcamp 1: Two (2) consecutive 1/2 day Intensive Workshops

  • Integration Session

  • Bootcamp 2: Two (2) consecutive 1/2 day Intensive Workshops

  • Consultative Session

  • Readiness Confirmation Session

Exam Ready Bootcamp Bonus Value

  • Reduces compliance costs since Bootcamp replaces more costly Mock Audits

  • Reduce compliance effort for the year since Bootcamp will satisfy your Annual Review (Rule 206(4)-7 Review)

Pricing

Enrollment Fee: $7,500

FAQ

  • Sessions are recorded and available for on-demand viewing.

    Coaching sessions are scheduled one-on-one.

  • The Exam Ready Bootcamp will occur over the course of a month. 

    Intensive workshop sessions are four (4) half-day sessions which occur in two blocks of two consecutive days in separate weeks of the month. Typically sessions are Thursday and Friday mornings on the first and third week of a month.

    Consultative sessions are 45 – 75 minutes each (approximately 8 hours in total).

    Preparation, assessment, and planning activities are conducted by firms outside of the time allocated for the intensive workshops and the consultative sessions.

  • The consultative sessions and assessment process ensure that each enrolled firm has a bootcamp that addresses its specific business model and profile.

Schedule a Call to Learn More