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Gordian Comprehensive

Our Gordian Comprehensive program provides customized consulting services to support the complex regulatory needs of investment advisers and private fund managers. Our experienced group of compliance consultants with decades of experience will develop and implement a specialized compliance program that’s individually tailored to your business, maximizing your operational strengths, mitigating risks, and leveraging opportunities.

Our Gordian Comprehensive Solution is designed to provide customized support to:

SEC registered RIA firm compliance consulting
hedge fund compliance consulting
private equity fund compliance consulting
Exempt reporting adviser compliance consulting

Retail Investment Advisers

Hedge Funds

Private Equity Funds

Exempt Reporting Advisers

Compliance Program Support

  • Prepare and submit amendments to Form ADV as needed, and on an annual basis
  • Assess and maintain a firm’s compliance manuals, including Policies & Procedures, Code of Ethics, Privacy Policy, Business Continuity, and Disaster Recovery Plan
  • State “blue sky” notice filings (For private fund managers)
  • Manage FINRA IARD administration—including applicable state notice filings and registration of investment adviser representatives (Form U4s)
  • Ongoing compliance training for firm employees

Auditing and Review

  • Conduct the annual compliance program review and risk assessment
  • Administer a mock regulatory exam, including a findings report
  • Review procedures relating to Anti-Money Laundering compliance, best execution, trade management procedures, process for performance calculations proxy voting, vendor due diligence, gifts and entertainment, and political contributions
  • Conduct an audit of necessary Books and Records
  • Review marketing materials, newsletters, websites and presentations for compliance with the Investment Advisers Act of 1940 and applicable NFA guidelines
  • Monitor employee personal trading through MyRIACompliance
  • Set up email archiving process

Regulatory Examination Services

  • Review all documents requested by regulators
  • Provide onsite presence and support during regulatory inspections

Request More Information About Our Gordian Comprehensive Compliance Solution

Come join over 1,800 RIA firms that rely on our expertise and proprietary RIA compliance software.