Bespoke compliance support for investment advisers who value expertise and proactive guidance
Who We Serve
We build long-term partnerships with registered investment advisers and exempt reporting advisers. We support a broad range of private fund strategies, including private equity, real estate, private credit, CLOs, venture capital and digital assets.
Services We Provide
We provide both ongoing compliance support and project-based services tailored to your needs. Our services are designed to grow with our clients, providing the appropriate levels of support as they expand and increase their AUM and product offerings. We are here to be your strategic partner.
General Compliance Services:
We help firms navigate evolving regulatory and compliance developments, including Regulation SP and CA SB 164 (Fair Investment Practices by Venture Capital Companies). Our general services include:
Annual compliance review and risk assessments
Assistance with Form ADV and Form PF filings
SEC adviser registration support
Compliance Manual preparation, review and updates
Marketing reviews
Compliance trainings
OCCO services
SEC examination readiness and exam support
Specialty Services:
Compliance with state and local lobbying laws
Pay-to-play guidance
Fund launch services
We also partner with advisers undergoing mergers or acquisitions, assisting with the resulting compliance, operational and regulatory integration challenges.
Our Story
Our name takes inspiration from the historic San Francisco neighborhood surrounding Alamo Square, a park which served as a refuge for many residents after the 1906 earthquake. The neighborhood is filled with well-maintained and preserved Victorian homes. Our founder has a Queen Anne Victorian built in 1894 in this neighborhood and has grown to appreciate the ornate details and quality craftsmanship that has allowed it to stand the test of time.
Like these stately homes, we believe that compliance programs should be designed to last. An effective compliance program requires a strong underlying architecture to provide a framework to support an adviser’s long-term success. Effective compliance programs are crafted and not generic or cookie-cutter forms.
Just as Victorian homes have been thoughtfully updated and modernized, we recognize that compliance programs must evolve with regulatory developments and as an adviser grows. We are here to translate regulatory requirements into solutions that the business team can implement without unnecessary restrictions while maintaining a strong culture of compliance.
Meet the Founder
Alamo Square Advisors was founded by Sonia Gioseffi. She has over 20 years of experience working with private fund managers across a variety of strategies. Previously, she was a partner in the investment management groups of Dechert LLP and K&L Gates LLP. In these roles, she advised managers on fund formation matters and provided ongoing regulatory advice. Sonia also has extensive experience related to pay-to-play and lobbying regulations. She was a partner at another compliance firm, working with private fund managers on their compliance needs. She is a frequent speaker at industry events, providing guidance on regulatory developments.
Sonia obtained her B.A. at the University of California, Santa Cruz, where she double majored in Environmental Studies and Economics. She has a J.D. and a LL.M. (International Law) from Cornell Law School.
Contact Us
If you would like to discuss our compliance services, we would love to hear from you!