Our compliance experts help SEC-registered investment advisers design, implement and maintain comprehensive programs that meet evolving regulatory requirements while supporting business growth.
What we deliver
- Compliance Program DevelopmentComprehensive programs that ensure adherence to SEC IA regulations — policies and procedures, compliance manuals, and training programs.
- Regulatory ComplianceOngoing monitoring and implementation of SEC IA requirements, including Form ADV filing, accurate recordkeeping, and annual compliance reviews.
- Risk ManagementIdentification and management of operational, reputational and compliance risks across the adviser's business.
- Investment Management AdvisoryGuidance on creating and managing portfolios, including investment selection based on risk tolerance, objectives and market conditions.
- Due DiligenceThorough due diligence on potential investments and strategies to ensure alignment with client goals and regulatory requirements.
- Performance ReportingRegular client performance reports including benchmark comparisons and detailed return analysis.
- Financial PlanningComprehensive financial planning — retirement, estate, tax and risk management.
- Client EducationEducating clients on strategies, market conditions and regulations so they can make informed decisions.
- Portfolio RebalancingRegular review and rebalancing to keep portfolios aligned with objectives and market conditions.
- Custodial ServicesArranging safekeeping and management of client assets with qualified custodians.
- Investment ResearchThorough research on potential investments to ensure SEC IA compliance and alignment with goals.
- Investment Advisory AgreementsDrafting and reviewing IAAs that meet SEC requirements and set clear expectations.
