RIA Compliance
SEC Compliance Services for RIAs and Fund Managers
We have decades of experience designing, advising, and managing compliance programs and professionals across the global investment management industry, including: Investment Advisers, Wealth Managers, Mutual Funds / ETFs, Private Funds, and Non-U.S. Firms and Funds.
Wealth Managers
Institutional Investment Managers
Global Investment Firms
Public Investment Programs
Mutual Funds and ETFs
Closed-End Funds
BDCs and Interval Funds
UCITS
Non-US / Offshore Funds
Hedge Funds
Private Equity
Private Real Estate and Infrastructure
Private Credit
Services
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Increase your confidence and readiness for your next SEC exam and minimize the cost and business disruption when it happens.
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A customized training and coach-consulting engagement for RIA executives and compliance officers.
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A complete testing and consulting solution for annual compliance and AML reviews.
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We partner with you and provide customized solutions.
Exam Ready
Feel Confident and Prepared.
Exam Ready is 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.
Our Exam Ready services prepare you 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 services cover all scopes and budgets.
Exam Ready PASS
Customized consulting to provide the highest degree of confidence in your ability to achieve a satisfactory outcome from an SEC exam in the coming year. Includes:
Customized Scope
Customized Request List
Document Production
Coaching and Executive Training
Document Review
Testing and Interviews
Remediation Assistance
Day One Preparation
PLUS: Two days of examination management and support services if you are examined within the following 12 months
Pricing is scaled based on firm profile and typically ranges from $24k to $36k.
Exam Ready PREP
A blend of consulting and advisory services so you feel fully prepared and confident in your ability to achieve a satisfactory outcome from an SEC exam in the coming year.
Consulting
Customized Scope
Customized Request List
Document Production
Document Review
Advisory
Testing and Interviews
Remediation Assistance
Coaching and Executive Training
Day One Preparation
PLUS: Two days of examination management and support services if you are examined within the following 12 months
Pricing is scaled based on firm profile and typically ranges from $10k to $16k.
Exam Ready BOOTCAMP
A blend of consulting and training services so you feel fully prepared and confident in your ability to achieve a satisfactory outcome from an SEC exam in the coming year. The Exam Ready Bootcamp includes:
Creating a customized readiness assessment and preparation plan
Developing a precise understanding of document request list, including production considerations
Preparing management and your firm for the firm’s internal response, including interview coaching
Identifying and responding to hot topic and potential risks covered during examinations
Mastering your “day 1” presentation and learn the keys to establishing a productive and cooperative rapport
Preparing an effective response letter plan
Remediating current gaps and maintaining your readiness
Personalized guidance that fits your firm, personnel, and systems
Valuable templates and resources
PLUS: Two days of examination management and support services if you are examined within the following 12 months
Flat pricing: $7,500
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RIA A to Z
Personalized and Practical SEC Compliance Training.
Learn the regulations that are relevant for your firm and get practical guidance that fits your organization.
RIA A to Z is designed for new RIA compliance officers and executives responsible for compliance.
RIA A to Z is structured as a Bootcamp, consisting of one-on-one meetings that define your desired scope and plan to for the bootcamp, followed by multiple half-day intensive workshops (the “bootcamp”) to drive progress, concluded by a personalized implementation and maintenance plan.
RIA A to Z Covers:
Overview of Regulations and Fiduciary Duty
Compliance Programs, AML Programs, Vendor Risk Management
Registration, Disclosures, and Books and Records
Investment Advisory Services and Proxy Voting
Best Execution and Prohibited Transactions
Custody, Valuation, Fees, and Expenses
Advertising, Sales, and Fund Distribution
Code of Ethics, Personal Trading, and Inside Information
Conflicts of Interest, Political Contributions, and Gifts and Entertainment
Privacy, Information Security, and Business Continuity
Private Funds Topics
Registered Investment Companies Topics
Join the Next RIA A to Z Bootcamp
Annual Compliance and AML Reviews
Practical. Pragmatic. Personalized.
We are your business partner in managing the annual reviews of your compliance program under Rule 206(4)-7 of the Investment Advisers Act of 1940 and Rule 38a-1 of the Investment Company Act of 1940, and your AML program under the Bank Secrecy Act.
Compliance Program Management
Outsourcing and Bespoke Solutions.
We help you reduce regulatory liability and risk exposure and increases the value of the firm’s compliance program and professionals.
This annual engagement uses our proprietary model for effective compliance as we help you manage all aspects of your compliance program, including:
Compliance Policies and Procedures
Annual Review Testing and Report
Ongoing Monitoring
Registration and Regulatory Filings
Employee Training
Regulatory Exam Preparedness
Ad hoc guidance and support when you need it