Investment Advisor Compliance

We assist registered investment advisors with their legal and compliance needs.  We specialize in smaller advisors and advisors who manage private funds (including exempt private fund advisers).  We can assist with:

• Advisor registration (both SEC and state) and regulatory filings (ADV, Form PF and Form CRS)
• Preparation of Form ADV (Parts I and II), construction of compliance program, and outsourced CCO services
• Annual reviews and documentation
• Examination preparation and support

Keith Marlowe was a former CCO of an SEC registered investment adviser.  We can work alone or in conjunction with a compliance consultant.  We have helped numerous clients through routine examinations.