RIAs

SDDco Regulatory Services LLC (SDDco-RS) of the SDDco Group offers wide-ranging compliance solutions to investment advisors.

 

Our seasoned professionals can facilitate your registration with the Securities Exchange Commission (SEC), fulfill your chief compliance officer role, and support your firm’s ongoing compliance with the rules and regulations of the industry.

 

Per the Investment Advisors Act of 1940 (the Act) Rule 206(4)-7, SDDco-RS assists registered investment advisors (RIAs) through the development of a customized compliance program, the adoption of written policies and procedures, the designation of a knowledgeable Chief Compliance Officer (CCO), and the execution of the annual review.

 

SDDco-LLC also offers AML testing for investment advisors, although not required by the SEC.

 

Additionally, SDDco-PC keeps you in a position of strength to meet your business goals. We provide outsourced accounting services to both SEC and state-registered investment advisors.

TYPES OF FIRMS INCLUDE:

  • SEC and state registered
  • Managers of individual accounts (SMAs)
  • Mutual fund managers
  • Portfolio allocation managers
  • Hedge fund and private equity fund managers

SERVICES INCLUDE:

  • Regulatory Exam Support
  • SEC and State Registration & Filings
  • Outsourced CCO
  • Ongoing Compliance
  • Mock Exams
  • Advertising Review
  • Accounting and Bookkeeping
  • Tax Compliance Advising
  • Annual Review
  • Compliance Manual
SDDco Who We Serve RIAs