Form ADV Monitoring and Flagging
Regulatory Clarity is the first in a series of applications designed to support fund allocators such as endowments, foundations, public and private pensions, family offices, sovereign wealth funds, OCIOs and consultants that are seeking ongoing monitoring of fund investments. We recognize the unique needs of fund allocators and the challenges they face when investing in traditional and alternative funds across the U.S. and around the world. Our application is designed to provide you with the meaningful updates that your fund managers have made to their regulatory filings, which may require further inquiry or action. Regulatory Clarity enhances your monitoring process and may inform you of matters for consideration between due diligence visits.
About the Form ADV Flagging Tool
Kroll supports fund allocators with our process for monitoring critical information provided through the SEC’s Form ADV system. Our unique system monitors your fund investments, flags the changes for update importance and provides our clients with clear, easily understood information about why the change was flagged.
Managers are required to update their Form ADV filings annually, and more frequently if certain important changes are made. The filing changes may be mundane, important or critical:
- How will fund allocators keep on top of the changes?
- How will fund allocators determine if the updates and changes reflect normal business changes, or signal real problems with the manager?
Our proprietary flagging tool will sort the changes for you and provide you with our comments about what the changes mean and which changes you need to react to immediately.