Investment Advisor Regulation

Our experience includes forming investment advisors registered at the State and Federal level, establishing compliance programs and acting as the Chief Compliance Officer for the Lehman Brothers and Neuberger Berman Private Equity businesses. We use that skill set to help investment advisors for private equity funds, hedge funds and investment advisors establish and maintain compliance with ever changing regulatory requirements at a fraction of the cost of a large firm or hiring an internal compliance team.

We can assist new and existing registered investment advisors with creating or updating:

  • Policies and Procedures Manuals
  • ADV Parts I and II
  • Establishing Compliance Programs
  • Marketing Material Reviews
  • Investment Advisory Agreements
  • Annual Compliance Testing