Fund & RIAs
We support Registered Investment Advisers (RIAs) and Private Fund managers with registration, compliance, and administration solutions - so you can stay focused on your investors and your strategy.
What is an RIA?
A Registered Investment Adviser is regulated by the SEC or state authorities to provide financial advice and manage client assets——bound by a strict fiduciary duty to act in clients’ best interests.
What is a Private Fund?
A Private Fund pools capital from accredited investors—such as hedge funds, private equity, and venture capital—to build targeted and professionally managed investment 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