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Who We Work With

Investment Advisers

We think about it so you don’t have to.

Our experience in working with small-to-medium sized Investment Advisers has resulted in our ability to offer compliance programs that provide both guidance and hands-on task completion as appropriate for a firm’s human and financial resources.

Our affordable full-service engagements keep things running smoothly, giving you peace of mind so you can focus on growing your business, not compliance.

The following is a list of services we frequently provide our Investment Adviser clients. We will work with you to create a package tailored to meet your business needs:

Investment adviser Services

Broker-Dealers

Focus on growth, not compliance.

We understand the role of CCO – the constant wondering about skeletons in the closet, and the challenges.  The challenges of allocating resources to mitigate compliance risk and the consideration of relying on third parties to accomplish compliance tasks and responsibilities. In fact, several of our consultants have been CCO at one time or another along their career path. We bring the depth of knowledge about compliance that you need, ready to roll up our sleeves and get the work done.

Let our compliance experts support your CCO in the completion of compliance tasks so you can hire staff that helps you grow, not just comply.

The following is a list of services we frequently provide our Broker-Dealer clients. We will work with you to create a package tailored to meet your business needs within your resources.

Broker-Dealer Services

Hedge Funds

Make compliance fit your business model.

If there’s one thing we’ve come to understand, it’s that compliance is not one-size-fits-all. The optimum compliance program strikes a balance between regulatory risk and the human/financial resources of the individual business.

Our personalized approach to compliance allows for the creation of an affordable program that addresses the unique needs of your funds, and your business at the same time.

The following is a list of services we frequently provide our Investment Adviser clients. We will work with you to create a package tailored to meet your business needs and your budget.

Hedge Fund Services

Private Equity

Required to register? No problem.

The landscape changed with the Dodd-Frank legislation, posing new questions about what it means to be registered for an individual business and how to manage the responsibilities of regulation.

We will guide you through the registration process and save you the expense of hiring a new employee by administering the compliance program for you.

Our affordable compliance programs cover all the bases, from registration to planning/creation and administration of monthly compliance tasks.

Private Equity Firm Services