We assist our clients with a broad range of regulatory and compliance matters ranging from routine securities filings to full adviser registrations. We routinely advise SEC and state- registered investment advisors and exempt reporting advisers regarding their operations. Our experience working directly with federal and state securities regulators allows us to efficiently address our clients’ compliance requirements with a focus on timely results.
RIA Compliance Group

All of our Compliance packages are powered by the resources and experience of our trusted partners at RIA Compliance Group.  RIA Compliance Group helps us provide a full suite of compliance consulting services.  Please see more
about RIA Compliance Group on their website at: www.ria-compliance.com.

We’ve partnered with RIA Compliance Technology, to utilize their state-of-the-art compliance portal as well as their solutions for trade monitoring and email archival. Please see more about RIA Compliance Technology on their website at: www.riacomptech.com. RIA Compliance Tech services include: Simple Compliance Portal; Simple Email, Social Media & Website Archive; Simple Trade Monitor; Simple Text Msg. Archive; and Simple Form ADV Solutions. The costs of all of their services are included in our regular pricing so you can rest assured that you’re getting a complete legal and compliance solution for one value-based price.

The costs of all of our trusted partners’ services are included in our regular pricing so you can rest assured that you’re getting a complete legal and compliance
solution for one value-based price.

Legal Counsel
  • Outside general counsel focused on corporate and regulatory matters.
  • Strategic guidance on entity structuring, formation, and operating agreements drafting.
  • Drafting RIA registration and disclosure documents.
  • Contract drafting, review and negotiation to ensure your business is protected and your interests are prioritized.
  • Review of your specific circumstances and honest advocacy for dispute avoidance or resolution.
Compliance Consulting
  • Conducting a comprehensive risk assessment to identify and mitigate regulatory risks facing your RIA.
  • Custom-tailored compliance program creation (or individual policies and procedure creation) and implementation planning.
  • Updating and testing of the compliance program pursuant to a compliance calendar.
  • Review and updating of disclosure documents and periodic regulatory filings.
  • Compliance counseling with respect to federal and state securities laws, SEC and state securities rules, updates and guidance.
  • Assistance with regulatory exams, inquiries or document requests.
RIA Formation
  • Draft all formation documents necessary for federal or state registered RIA.
  • Manage the regulatory filing process from start to finish, including IARD administration.
  • Proactively engage with regulators to facilitate a timely approval.
Disclosure Drafting & Filing
  • Form ADV Part 1, Part 2A brochure, Part 2B brochure supplement, Form CRS relationship summary, and wrap brochures.
  • Notice filings or additional state registrations.
  • Form U4 / U5 filings and updates.
  • Draft and review of website, social media, and general marketing disclosures.
Policies & Procedures
  • Custom tailored compliance policies and procedures with recommended updates as necessary.
  • Code of Ethics.
  • Privacy Policy.
  • Cybersecurity and Information security policies.
  • Disaster recovery and business continuity policies.
  • Fully or partially outsourced annual compliance reviews and 206(4)-7 reporting.
  • IRA rollover recommendations polices and disclosures.
CCO Training & Assistance
  • CCO Training & Assistance
  • Timely and topical articles and summaries of new laws, rules, regulations and cases.
  • Assistance with third-party vendor due diligence and oversight.
  • Provide ongoing advice on compliance matters that arise.
Regulatory Exams
  • Review regulatory document requests or inquiries.
  • Review actual regulatory exam requests, draft responses, and consult on proper resolution of any deficiencies.
  • Side by side with you through the entire exam.
  • Periodic books and records review to assess exam readiness and help resolve any deficiencies.
  • Mock examinations or audits to simulate an actual regulatory exam and identify any regulatory risks.
Mergers & Acquisitions
  • Buy-side or sell-side representation during the sale or acquisition of a business.
  • Strategic counsel during business combinations or joint ventures.
  • Addressing regulatory matters related to RIA deals.
  • Reviewing, negotiating and drafting letters of intent and business transaction documents to protect your interests.
  • Confidentially match interested buyers and sellers.
Private Equity
  • Fund structure. Advising on overall fund structure, valuation mechanisms, investor distributions, and appropriate risk disclosures.
  • Fund offering documents. Preparing customized fund offering documents, including term sheets, private placement memoranda, limited partnership agreements and subscription documents for both individual and institutional investors.
  • Regulatory filings. Preparing initial regulatory filings on behalf of managers and funds, including entity formation filings, Form D filings and state “blue sky” notices.
  • Vendor agreements. Assisting managers with selecting and negotiating vendor agreements, including fund administrators, auditors and custodians.
  • Comprehensive Manager Support. Assisting managers with investor side letter agreements, seed capital arrangements and other investor negotiations.
  • Sidecar investments. Structuring co-investment and sidecar vehicles.