Regulatory Consulting

We assist investment advisers and funds in our regulatory consulting practice in a wide variety of ways ranging from short-term projects, such as a compliance program gap analysis, to year-round ongoing annual review assistance that can include elements such as risk assessment, policy manual and compliance tools updates, Form ADV updates, testing and employee training.  We do not provide a menu of services or packages to choose from, but rather each project scope and budget is customizable based on your needs. 

Our advice is customized for your business and not a one-size-fits-all approach to check a box. Our extensive experience with a wide variety of adviser business models, fund and other pooled investment vehicle structures and investment types/strategies, including some niche investments such as private equity, real estate and bank loans, ensures that our advice is sound, practical and based on a comprehensive level of understanding. Further, our centralized research and consulting process functions ensure all consultants have a consistent viewpoint and clients receive a consistent client experience. Below are examples of the types of services we provide clients.  However, we are always excited about opportunities for unconventional projects as well and look forward to discussing with you how we can help.

  • Compliance Program Builds (Adviser and Funds)
  • Navigating the SEC Registration Process
  • Policies and Procedures
  • Risk Assessment
  • Testing Plan Design and Execution
  • Form ADV / IARD Support
  • Employee Education / Training
  • Annual Review Support
  • Compliance Program Review (Gap Analysis)
  • Mock SEC Examination
  • Ongoing Advice and CCO Support
  • Compliance Monitoring
  • Code of Ethics Software Implementation and Monitoring
  • Adviser Marketing Review
  • SEC Exam Preparation
  • Adviser or Fund Start-up
  • Fund Independent AML Reviews
  • Compliance Due Diligence Reviews of Advisers and/or Sub-advisers
  • Service Provider Due Diligence
  • SEC Enforcement Remediation
  • Customized Services

Please visit our Contact Us page or call our office at (414) 431-4360 to discuss your upcoming project with a member of our team.