Private Fund Compliance
Full-Service compliance across hedge, private equity, & commodity funds.
Private Fund Compliance
Private Fund Compliance
Full-Service compliance across hedge, private equity, & commodity funds.
Ongoing Compliance
& Regulatory Adherence
Ongoing Compliance
& Regulatory Adherence
Ongoing Compliance
& Regulatory Adherence
Whether you're starting a liquid strategy, building a private equity vehicle, or testing an incubator fund, AdvisorLaw guides you through the complexities from initial entity setup to ongoing regulatory adherence. We offer full-service fund formation and ongoing compliance solutions, specifically tailored for Exempt Reporting Advisers (ERAs), Registered Investment Advisers (RIAs), Commodity Pool Operators (CPOs), and Commodity Trading Advisors (CTAs).
Our expertise covers forming and supporting entirely exempt funds, including Liquid Hedge Funds, Hybrid Hedge Funds, and Private Equity and Commodity Pools. We provide peace of mind for fund sponsors and general partners by handling essential documents like the Private Placement Memorandum (PPM), Subscription Agreement, and Operating/LP Agreement, as well as necessary SEC Form D and Blue Sky filings. If you already have an entity, we can seamlessly launch a new fund by preparing all required fund documents and compliance filings.
Whether you're starting a liquid strategy, building a private equity vehicle, or testing an incubator fund, AdvisorLaw guides you through the complexities from initial entity setup to ongoing regulatory adherence. We offer full-service fund formation and ongoing compliance solutions, specifically tailored for Exempt Reporting Advisers (ERAs), Registered Investment Advisers (RIAs), Commodity Pool Operators (CPOs), and Commodity Trading Advisors (CTAs).
Our expertise covers forming and supporting entirely exempt funds, including Liquid Hedge Funds, Hybrid Hedge Funds, and Private Equity and Commodity Pools. We provide peace of mind for fund sponsors and general partners by handling essential documents like the Private Placement Memorandum (PPM), Subscription Agreement, and Operating/LP Agreement, as well as necessary SEC Form D and Blue Sky filings. If you already have an entity, we can seamlessly launch a new fund by preparing all required fund documents and compliance filings.
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."
- Raj Rajendran ⭐⭐⭐⭐⭐
"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."
- Shane Farina ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."
- John Brewer⭐⭐⭐⭐⭐
"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"
- Travis Jeffrey⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."
- Raj Rajendran ⭐⭐⭐⭐⭐
"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."
- Shane Farina ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."
- John Brewer⭐⭐⭐⭐⭐
"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"
- Travis Jeffrey⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
Managing Private Fund
Regulatory Requirements
Managing Private Fund
Regulatory Requirements
Managing Private Fund
Regulatory Requirements
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
Despite the misconception that private investment funds are "unregulated," these sophisticated, professionally managed, pooled investment vehicles are subject to a strict variety of state and federal rules that must be strictly obeyed. The compliance requirements are crucial and must be documented in a continuously updated policy manual. We assist with formation and compliance across various fund types, including Private Equity Funds and Hedge Funds.
These funds typically require certain filings under the Securities Act of 1933 and state securities laws, such as the Form D. Furthermore, investment managers may need to file for registration or exemption under the Investment Advisers Act of 1940 and the Commodity Exchange Act.
We have the necessary expertise to assist in ongoing adherence to the applicable rules and regulations that govern your fund structure, making sure that your compliance is thorough and sustained.
Despite the misconception that private investment funds are "unregulated," these sophisticated, professionally managed, pooled investment vehicles are subject to a strict variety of state and federal rules that must be strictly obeyed. The compliance requirements are crucial and must be documented in a continuously updated policy manual. We assist with formation and compliance across various fund types, including Private Equity Funds and Hedge Funds.
These funds typically require certain filings under the Securities Act of 1933 and state securities laws, such as the Form D. Furthermore, investment managers may need to file for registration or exemption under the Investment Advisers Act of 1940 and the Commodity Exchange Act.
We have the necessary expertise to assist in ongoing adherence to the applicable rules and regulations that govern your fund structure, making sure that your compliance is thorough and sustained.
Despite the misconception that private investment funds are "unregulated," these sophisticated, professionally managed, pooled investment vehicles are subject to a strict variety of state and federal rules that must be strictly obeyed. The compliance requirements are crucial and must be documented in a continuously updated policy manual. We assist with formation and compliance across various fund types, including Private Equity Funds and Hedge Funds.
These funds typically require certain filings under the Securities Act of 1933 and state securities laws, such as the Form D. Furthermore, investment managers may need to file for registration or exemption under the Investment Advisers Act of 1940 and the Commodity Exchange Act.
We have the necessary expertise to assist in ongoing adherence to the applicable rules and regulations that govern your fund structure, making sure that your compliance is thorough and sustained.
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Despite the misconception that private investment funds are "unregulated," these sophisticated, professionally managed, pooled investment vehicles are subject to a strict variety of state and federal rules that must be strictly obeyed. The compliance requirements are crucial and must be documented in a continuously updated policy manual. We assist with formation and compliance across various fund types, including Private Equity Funds and Hedge Funds.
These funds typically require certain filings under the Securities Act of 1933 and state securities laws, such as the Form D. Furthermore, investment managers may need to file for registration or exemption under the Investment Advisers Act of 1940 and the Commodity Exchange Act.
We have the necessary expertise to assist in ongoing adherence to the applicable rules and regulations that govern your fund structure, making sure that your compliance is thorough and sustained.
Enhance your operations with AdvisorLaw's Nexus enterprise platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
5 Areas Regulators Are Scrutinizing This ADV Season
Key Takeaways From SEC 2026 Examination Priorities
FINRA Awards Expungement Of Misleading Termination For Florida FA
FINRA Arbitration Panel Awards Expungement Of False Unsuitability Claim
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
5 Areas Regulators Are Scrutinizing This ADV Season
Key Takeaways From SEC 2026 Examination Priorities
FINRA Awards Expungement Of Misleading Termination For Florida FA
FINRA Arbitration Panel Awards Expungement Of False Unsuitability Claim
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
5 Areas Regulators Are Scrutinizing This ADV Season
Key Takeaways From SEC 2026 Examination Priorities
FINRA Awards Expungement Of Misleading Termination For Florida FA
FINRA Arbitration Panel Awards Expungement Of False Unsuitability Claim
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Cody Branson
Compliance Analyst
Sara Bries
Compliance Analyst
Samantha Fow, J.D.
Associate Attorney
Shannon Hemphill
Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
Compliance Analyst
Jason Kirkland
Executive Director
Amy Luna
Account Development
Representative
Samuel Lyman
Compliance Analyst
Liz Manteau
Senior Compliance Analyst
Janet Messer
Senior Compliance Analyst & Senior Nexus Specialist
Kelly Myers
Compliance Analyst
Tim Monaco
Compliance Analyst
Ainsley Norman
Nexus Specialist
Courtney Raymond
Director of RIA Development
Dave Reichert
Senior Compliance Analyst
Ruth Thortvedt
Senior Compliance Analyst
Matt Tuerk, J.D.
Contract & Client Services
Specialist Associate
Molly Wheeler
Compliance Analyst
Petra Zunt
Compliance Consultant
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Cody Branson
Compliance Analyst
Sara Bries
Compliance Analyst
Samantha Fow, J.D.
Associate Attorney
Shannon Hemphill
Compliance Analyst
Jake Jacobsen, J.D.
Senior Associate
Samira Kadam
Compliance Analyst
Joseph Keep
Compliance Analyst
Jason Kirkland
Executive Director
Amy Luna
Account
Development
Representative
Samuel Lyman
Compliance Analyst
Liz Manteau
Senior Compliance Analyst
Janet Messer
Senior Compliance Analyst & Senior Nexus Specialist
Kelly Myers
Compliance Analyst
Tim Monaco
Compliance Analyst
Ainsley Norman
Nexus Specialist
Courtney Raymond
Director of
RIA Development
Dave Reichert
Senior Compliance Analyst
Ruth Thortvedt
Compliance Analyst
Matt Tuerk, J.D.
Contract & Client Services Specialist Associate
Molly Wheeler
Compliance Analyst
Petra Zunt
Compliance Consultant
Frequently Asked Questions
Frequently Asked Questions
We provide end-to-end compliance and formation support for a wide range of structures, including Liquid Hedge Funds, Hybrid Hedge Funds, Private Equity Vehicles, and Commodity Pools. Whether you are launching an incubator fund to test a track record or building a complex multi-series LP, we handle everything from initial entity setup (LLC/LP) to the preparation of critical offering documents like the Private Placement Memorandum (PPM) and Subscription Agreements.
Launching a new strategy doesn't have to be a "re-invent the wheel" scenario. If you already have an established entity, we can seamlessly launch a new fund by preparing all necessary supplemental offering documents and updating your regulatory filings. We coordinate the transition so that your existing compliance manual and Form ADV reflect the new fund’s strategy, fee structures, and potential conflicts of interest, allowing for a swift and compliant go-to-market.