Investment Adviser Services

Our professionals will analyze your investment advisory objectives and prepare the documentation necessary to operate an investment adviser in compliance with regulatory requirements, including those that are subject primarily to SEC jurisdiction. We provide ongoing compliance services and deliver practical solutions. Our clients include investment advisers, hedge funds, private equity funds, real estate funds, UITs, and UCITs/SICAVs.

Investment Adviser Services
Solutions Include:
  • Preparation and annual update of ADV Parts 1 and 2, including, without limitation, for relying advisers

  • Bios of key personnel who provide investment advice to clients

  • Web IARD entitlement forms

  • Code of Ethics Manual: mandatory under the Investment Advisers Act of 1940 (the “Act”)

  • Policies and Procedures Manual

  • Anti-Money Laundering Procedures

  • Business Continuity Plan

  • Notices to clients: Privacy, Customer Identification Program, Annual and other Updates to Form ADV, Business Continuity Plan

  • Review of marketing materials, websites and other social media for compliance with the Act and SEC Advertising Rules

  • Review of sub-advisory agreements, if any

  • Custody issues

  • Trading issues and brokerage practices; proxy voting rules

  • Assistance in setting up an internal compliance program:

  • AML compliance

  • Email retention and review program

  • Assistance with website and other social media

  • Books and records

  • Regulatory filings: Form PF, 13H, etc.

  • State registrations, as necessary, post SEC-approval

  • Preparation for SEC exams (post SEC-approval)