Fund & RIAs
We support Registered Investment Advisers (RIAs) and Private Fund managers with registration, compliance, and administration - so you can focus on investors and strategy.
What is an RIA?
An RIA is a firm or individual registered with the SEC or state regulators to offer financial advice and manage client investments-bound by a fiduciary duty to act in clients' best interests.
What is a Private Fund?
An investment pool for accredited investors (not publicly offered), such as hedge funds, private equity, and venture capital - raising capital to build targeted portfolios.
Registration & Compliance
· SEC/state registration guidance and filings
· Policies, procedures, and ongoing compliance support
· State-specific requirements for intrastate and interstate operations
Fund Administration (Middle & Back Office)
· Fund accounting and financial reporting
· Investor communications and regulatory support
· Robust, transparent processes to inspire investor confidence
Exclusions and Exemptions Services
Not every adviser or fund is required to register - but many still have filing and compliance obligations.
· Exclusion and Exemption Analysis
· Filing Assistance
· Ongoing Obligations Even if exempt, firms must maintain internal compliance frameworks - we help you design
· Written policies and procedures
· Proper books and records
· Effective KYC/AML programs