Service Offerings

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 private fund managers, including 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.

  • Outsourced Chief Compliance Officer (OCCO) services

  • Compliance program design and support

    • Annual compliance reviews under Rule 206(4)-7 and risk assessments

    • Compliance Manual preparation, review and updates

    • Review of advertising material pursuant to the Marketing Rule (Rule 206(4)-1)

    • Compliance training programs 

  • Registration and regulatory filing support

    • SEC investment adviser registration support

    • CTA and CPO registration, exemption and compliance assistance

    • Form ADV and Form PF filing assistance

  • SEC, CFTC and NFA examination support

  • Specialty services

    • State and local lobbying law compliance

    • Pay-to-play guidance

    • Fund launch services

  • Merger and acquisition support for managers

    • Support for managers undergoing mergers or acquisitions

    • Assistance with compliance, operational and regulatory integration challenges

See our FAQs for additional information about our services.

Tailored Engagement Model

Engagements are tailored to fit each private fund manager’s needs. We offer project-based, hourly, and monthly subscription arrangements, and we scale our support as a firm’s assets under management and operational complexity grow. Whether a manager needs a defined project, ongoing outsourced CCO coverage, or support that expands over time, the engagement is built around the work rather than a fixed template.

Colorful Victorian-style houses in the historic Alamo Square Park in San Francisco, California.

How to Get in Touch

If you would like to discuss whether Alamo Square is the right fit for your firm, we welcome the conversation.

Get in Touch

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