Investment Adviser Consulting Overview

SCA provides a broad range of compliance and regulatory services to investment advisers. Investment adviser regulation has undergone major changes over the past few years. It continues to be a challenge to keep up with all of the SEC and state regulations and interpretations. SCA consultants are constantly communicating with regulators and reviewing new rules, guidelines, no-action letters, etc. in order to stay current on SEC and state regulatory body exam priorities, focus areas and new initiatives.

SCA has been registering investment advisers with the SEC and states since 1997. In addition to registration services, SCA’s consultants can provide your registered investment adviser firm with new or modified supervisory and compliance procedures, prepare you for an SEC exam, conduct your Annual Review, review your personal securities transactions, respond to SEC deficiency letters, review advertising and marketing material, handle your Investment Adviser Registration Depository (IARD) registrations, update your Form ADV, provide up-to-date news alerts, conduct training seminars, and provide consultations on compliance issues specific to your organization's investment adviser regulation needs.

SCA’s investment adviser clients include multi-national financial services companies, hedge fund managers, family offices, advisers to institutions and high net worth clients, advisers to mutual funds and retail-focused advisers.