Investment Adviser Services

Our extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.

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Our clients include hundreds of investment advisers and private fund managers, both in the U.S. and internationally, who rely on us to help them meet their regulatory obligations and reduce their compliance risk profiles, including those mandated by the SEC. Kroll’s extensive experience includes setting up advisory firms and assisting with initial registration, as well as a wide span of ongoing compliance support services.

Our list of services includes:

  • SEC registration
  • SEC mock exam
  • Annual compliance review, in accordance with Rules 206 (4)-7
  • Gap Analysis of compliance and operations program
  • Operational due diligence reviews
  • Vendor due diligence
  • Risk assessment and risk management
  • Regulatory Exam Support
  • Ongoing compliance support (Form ADV and PF filings, electronic communication review, review of marketing materials, review of personal trading, annual compliance training, development of policies and procedures, regular consultation with Kroll team)
Connect with us
Connect with us
Peter Wilson
Peter Wilson
Managing Director
Financial Services Compliance and Regulation
New York
Phone
Ken Joseph
Ken C. Joseph, Esq.
Managing Director
Financial Services Compliance and Regulation
New York
Phone

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Valuation of businesses, assets and alternative investments for financial reporting, tax and other purposes.

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End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate operational security, legal, compliance and regulatory risk.

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Comprehensive investment banking, corporate finance, restructuring and insolvency services to investors, asset managers, companies and lenders.

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Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.

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Advisory and technology solutions, including policies and procedures, screening and due diligence, disclosures and reporting and investigations, value creation, and monitoring.

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World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation and testimony.

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Expert provider of complex administrative solutions for capital events globally. Our services include claims and noticing administration, debt restructuring and liability management services, agency and trustee services and more.

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