Bespoke compliance support for private funds
Who We Serve
We build long-term partnerships with our clients across a broad range of private fund strategies, including private equity, real estate, private credit, CLOs, venture capital, hedge and digital assets. We also work with alternative investment strategies and family offices. We assist clients with SEC, CFTC and NFA regulatory requirements.
Our team has a skill set that distinguishes us from other compliance consulting firms: partner-level law firm experience and deep knowledge of fund formation and derivatives regulation — a combination that distinguishes us from most compliance consulting firms. Clients rely on us for strategic support and substantive guidance that reflects both regulatory expertise and a practical understanding of how private funds operate.
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.
We provide compliance and regulatory services for both registered and exempt reporting advisers, as well as commodity trading advisors and commodity pool operators. Our guidance helps firms navigate evolving federal and state-level regulations and industry standards. We advise on regulatory matters from Regulation S-P to CFTC Rule 4.13(a)(3) exemption compliance.
Our core offerings include
Outsourced Chief Compliance Officer (OCCO) services
Annual compliance reviews under Rule 206(4)-7 and risk assessments
Form ADV and Form PF filing assistance
Compliance Manual preparation, review and updates
Review of advertisements pursuant to the Marketing Rule (Rule 206(4)-1)
Compliance training programs
SEC investment adviser registration support
CTA and CPO registration, exemption and compliance assistance
SEC, CFTC and NFA examination support
Specialty Services
We provide specialized compliance services for private fund advisers with complex or growth-oriented needs:
State and local lobbying law compliance
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 that served as a refuge for many residents after the 1906 earthquake. The neighborhood is filled with well-maintained and preserved Victorian homes. We appreciate the ornate detail and quality craftsmanship that have allowed these homes to stand the test of time.
Like these stately homes, we believe that compliance programs for private fund advisers should be built to last. An effective compliance program requires strong underlying architecture to provide a framework that supports an adviser’s long-term success. Effective compliance programs are crafted and tailored for an adviser’s strategy and business. They are not based on generic cookie-cutter forms.
Just as these homes should be thoughtfully updated and modernized, compliance programs should evolve with regulatory and industry developments and as an adviser grows. We help advisers translate regulatory requirements into practical solutions that business teams can implement efficiently while maintaining a strong culture of compliance with operational flexibility.
Meet the Founder
Alamo Square Advisors was founded by Sonia Gioseffi. She has over 20 years of experience advising private fund managers across a broad range 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. Prior to founding Alamo Square Advisors, 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 an LL.M. (International Law) from Cornell Law School.
Contact Us
If you would like to discuss whether Alamo Square is the right fit for your firm, we welcome the conversation.