Alamo Square Advisors is a compliance consulting firm that works with private fund managers. We provide outsourced compliance support and outsourced Chief Compliance Officer (CCO) services for private funds, on an ongoing or project basis. In these roles, we provide general support for compliance programs, as well as assist with SEC registration, Form ADV and Form PF filings, and SEC or CFTC examinations. We do not serve mutual funds or retail advisory firms.

We work with private fund managers across strategies and stages, from emerging managers launching their first fund to established managers. Strategies that we work with include private equity, real estate, private credit, CLOs, venture capital, hedge funds, and digital assets. Our ideal client is one that appreciates proactive quality compliance support!

Alamo Square Advisors combines the senior, partner-level expertise of a law firm background with the focus of a boutique compliance firm dedicated to private fund managers. The founder was a partner in the investment management groups of leading international law firms, advising private fund managers on fund formation and ongoing regulatory matters. Clients are not routed to junior staff and receive substantive regulatory guidance instead of checklist administration.

Yes. Alamo Square Advisors works with private fund managers undergoing mergers, acquisitions and other similar transactions. We have worked with registered advisers being acquired by an operating company and investment team lift-outs from another registered adviser. These types of transactions are complex and require the attention to detail that most compliance firms cannot handle. Often, the main focus is on the deal terms and transaction documents, while integration of the compliance programs, including information security programs and business continuity plans, is an afterthought. With the SEC’s continued regulatory focus on these types of transactions, advisers need to be mindful of, and address, the resulting compliance integration challenges.

Yes. Alamo Square Advisors advises private fund managers on AI compliance considerations. We help managers adopt AI policies and integrate AI use throughout a Compliance Manual. As this is an evolving area, our advice is based on the fundamentals of regulatory requirements applicable to investment advisers and risk-based analysis. When preparing policies, we are also mindful of the practical implications of AI use by an adviser’s personnel.

Alamo Square Advisors regularly publishes practical insights on private fund compliance and regulatory developments on our LinkedIn page. Following Alamo Square Advisors on LinkedIn is the easiest way to receive timely, practical guidance on compliance matters affecting private fund managers.