REGULATORY COMPLIANCE CONSULTING FOR INVESTMENT ADVISERS

Providing High-touch Compliance and Legal Support For Asset Managers, Financial Planners and Private Funds

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OUR FIRM

High Tide Compliance Management, LLC provides ongoing legal and compliance support to all forms of investment advisers including individuals seeking to go independent, existing asset managers, and private fund managers. Our firm has extensive experience providing counsel to investment advisers registered in all fifty states and the SEC. High Tide rejects the cookie-cutter or prepackaged “box” of compliance services. Instead, we take on an in depth hands-on approach to tailor our services to each RIA’s individual needs. We provide ongoing legal and compliance support services for both state and SEC-registered firms in a number of areas, including:

  • Initial and Ongoing Registration

  • Compliance Program Development

  • RIA Compliance Training

  • Compliance Calendars

  • Annual Compliance Reviews

  • Advertising Reviews

  • ADV Part 1, 2, and Form CRS Amendments

  • U4 Filings and Representative Onboarding

  • Form PF Filing

  • Edgar Filings Including Form 13F, 13H and Form D

  • IARD Management

  • Compliance Certifications / Attestations

  • Regulatory Responses & Examination Support

  • Mock Exams and Exam Management

  • Advertising Compliance Reviews

  • Ongoing Consulting for Questions and Issues

  • Email Review Services

  • Expert Network Meeting Surveillance

  • Code of Ethics Monitoring

  • Legal Agreement Reviews

  • Entity Formation and Filings

  • Outsourced CCO Services

 

SERVICES

Guiding You to Success By Mitigating Risk and Driving Operational Efficiency

REGISTRATION

Assistance in Formation and Registration of Registered Investment Advisers (RIAs)

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ONGOING SERVICES

Individually Tailored Compliance Plan Support and Management

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LEGAL SERVICES

Contract Drafting, Review, and Negotiation Assistance

 

SCHEDULE A CONSULTATION

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CONTACT

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