Fund Advisers

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 has amended the Investment Adviser Act of 1940, requiring investment advisers to hedge funds and other private funds to register upon reaching a specified assets under management threshold.

We have the expertise to counsel firm management as to the regulatory requirements, and deliver the following services:

  • Prepare and file SEC registration
  • Prepare and file Form ADV Part 1 and Part 2 for Exempt Reporting Advisers
  • Register Investment Adviser Representatives
  • Develop customized written supervisory procedures manual
  • File Schedules  13D, 13F, 13G and 13H
  • File Form PF 
  • Conduct mock examination
  • Conduct annual review of compliance program
  • Conduct risk assessment
  • Review advertising and marketing materials
  • Review fund documents for compliance with key rules

Contact us to obtain additional information concerning our investment compliance services or to discuss other matters related to immigration, business or securities law.