SEC & State Investment Adviser Compliance Consulting
Regulatory Compliance Consulting
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Our team of former SEC examiners and managers leverages decades of hands-on regulatory experience to deliver expert compliance consulting services for investment advisers, investment companies, and private funds.
Navigating SEC Compliance driven byÂ
SEC Experience
As dedicated SEC experts, our team of former SEC examiners and managers work closely with firms to:
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Understand what regulators look for before, during, and after an examination.
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Interpret initial document request lists, streamline data collection, and craft precise, well-supported responses to deficiency letters—minimizing regulatory risk, reducing follow-up scrutiny.
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Proactively identify and mitigate risks before they become examination deficiencies or enforcement actions.
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Understand emerging regulatory risks, enforcement trends, and new SEC rulemaking, translating complex developments into actionable compliance strategies.
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Solve complex compliance issues, avoid costly missteps, and build practical solutions.
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Build tailored compliance programs that align with regulatory expectations—without creating unnecessary operational burden.
This results in practical, exam-ready compliance that protects the firm, supports business operations, and allows focus on serving clients.
From SEC Inside Knowledge
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Your Front-Line Defense
Our Compliance Consulting Services
Registration, Filings & Regulatory Support
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SEC & State RIA Registration
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RIA Transition Support (State-to-SEC)(SEC-to-State)
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Form ADV Preparation & Filing
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Annual/Interim Form ADV Updating Amendments
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Form CRS Preparation & Updates
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Regulatory Reporting/Filing Support (Form PF, Form N, Form 13F/H/G, State Notices, etc.)
Supporting investment advisers across federal and state regulatory frameworks
 Training & Specialized Compliance Services
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SEC Marketing Rule Compliance Reviews
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Annual Compliance Training Programs
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Website & Social Media Compliance Reviews
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Cybersecurity Compliance Assessments
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Written Information Security Program Reviews
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Anti-Money Laundering Compliance Support
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Project-Based Engagements                          Â
Why Regulatory Compliance Lens?
Former SEC
Examiners and Managers
Decades of firsthand regulatory examination and supervisory experience. Â
Comprehensive Services
From registration and compliance manuals to mock exams and deficiency letter responses — experienced guidance through every stage of the compliance lifecycle.
Regulator's Perspective
Helping firms understand what SEC and state examination staff expect to see during an examination.
Tailored Compliance Solutions
Compliance programs designed around a firm's business model, operations, and regulatory obligations.
Strategic Compliance Partner
Working alongside firms to strengthen compliance decisions with the perspective and judgment of former SEC regulators.
Examination Readiness
Onsite mock examinations and focused reviews that uncover potential deficiencies before regulators arrive.
Who We Serve
SEC-Registered Investment Advisers
Private Funds
State-Registered Investment Advisers
Registered Investment Companies
We take a hands-on approach to building compliance infrastructure, providing tailored guidance that is clear, thorough, and aligned with SEC and state expectations.
Compliance Insights & Regulatory Resources
Insights. Guidance. Resources.
Stay informed of evolving SEC and state regulatory expectations through high-level briefs featuring practical, examiner-informed compliance insights and curated regulatory resources.
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Our Compliance Insights page equips SEC & state RIAs, private funds, and investment companies with essential guidance to strengthen front-line compliance, address regulatory risk, and maintain exam-ready compliance programs.
