Initial Launch

Initial Documentation, Account Openings and Service Provider Selection

  • Preparing management company structure and legal documentation
  • Preparing constituent documents for domestic and offshore funds
  • Consulting for optimized tax and legal structuring
  • Account opening for applicable funds and managed accounts
  • Evaluating service provider selection and negotiating agreements

Marketing Materials Preparation

Preparing investor facing materials, including Pitchbook, Tearsheet/Overview, Performance Reports, Due Diligence Questionnaire (DDQ) and other applicable marketing materials.

SEC Application for Registration

  • Collecting all requisite information and documentation required to complete the Firm’s Form ADV
  • Preparing a complete Form ADV for review by appropriate Firm personnel and filing
  • Providing general advice on compliance requirements for registered investment advisers
  • Assisting with registering the Firm and appropriate personnel on the IARD system

CFTC Application for Registration

  • Collecting and assessing all requisite required information and documentation
  • Providing general advice on compliance requirements for registered CPOs/CTAs
  • Identify potential exemptions from registration for certain entities within the Form structure
  • Assisting with Firm and appropriate personnel registration on the NFA’s ORS system
  • Preparing Form 7-R Firm Application(s) and Form 8-R Individuals Application(s), as applicable

Compliance Program Development

  • Assessing current compliance and operational policies & procedures
  • Preparing a customized compliance manual for the Firm
  • Developing a compliance calendar and conducting initial compliance training for employees