Services

Outsourced Chief Compliance Officer and General Counsel Services

For the appropriate client, we can act as outsourced Chief Compliance Officer and General Counsel. We believe this service is most appropriate for advisers with between $100 million and $10 billion in assets under management while they scale and manage their business. Depending on the agreed upon scope of services, we may agree to perform these services under one of the following arrangements:

  • Fixed fee, typically ranging from $20,000 to $120,000 depending on the scope of services. Rates are subject to negotiation.
  • A hybrid arrangement with a monthly retainer and hourly rates charged when the negotiated retainer has been extinguished (e.g., 5 hours).
  • At hourly rates of $450 per hour.

Discrete Regulatory and Compliance Services

These services provide investment adviser with counsel and work product designed to comply with applicable law.

  • Registration and ongoing maintenance of registration for investment advisers
  • Drafting and review of Form ADV (Part 1, 2A, 2B, and 3)
  • Notice filings
  • Privileged and confidential mock examinations
  • Annual review and testing of policies and procedures
  • Defense of regulatory examinations
  • Defense of enforcement inquiries
  • Form D and Blue Sky filings for private fund managers
  • Assisting with client complaints

We perform a broad range of legal services for our investment adviser clients. Below are some of those services.

  • Employment transitions and contractual matters
  • Broker Protocol matters
  • Review of vendor agreements
  • Review of investment opportunities
  • Drafting and review of investment advisory, sub-advisory, TAMP, investment management, and retirement plan services agreements.
  • Corporate formation and drafting of operating agreements
  • Mergers, acquisitions, and other transactions
  • Enforcement defense before the SEC and FINRA