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:
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Initial and Ongoing Registration
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Compliance Program Development
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RIA Compliance Training
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Compliance Calendars
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Annual Compliance Reviews
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Advertising Reviews
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ADV Part 1, 2, and Form CRS Amendments
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U4 Filings and Representative Onboarding
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Form PF Filing
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Edgar Filings Including Form 13F, 13H and Form D
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IARD Management
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Compliance Certifications / Attestations
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Regulatory Responses & Examination Support
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Mock Exams and Exam Management
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Advertising Compliance Reviews
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Ongoing Consulting for Questions and Issues
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Email Review Services
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Expert Network Meeting Surveillance
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Code of Ethics Monitoring
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Legal Agreement Reviews
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Entity Formation and Filings
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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)
ONGOING SERVICES
Individually Tailored Compliance Plan Support and Management
LEGAL SERVICES
Contract Drafting, Review, and Negotiation Assistance
Registration Services
We provide individuals and teams of advisors with assistance in achieving independence by breaking away from their current employers and launching fully registered investment advisory firms. Registration includes the formation of a new RIA, client contracts, compliance manual, ancillary compliance plan documents and a training consultation.
Compliance Plan Management
We provide monthly ongoing compliance support to registered investment adviser ("RIA") firms. Our RIA compliance program is tailored for each firm's unique needs. All compliance monthly packages include unlimited ADV, U4, compliance manual, and consulting support.
Mock Audits
An Annual Compliance Review is a requirement for all SEC registered firms. Our comprehensive mock audit process will help you fulfill that annual requirement, while identifying and correcting potential deficiencies with the firm BEFORE they grow into larger problems.
Examination Support
We take a hands-on approach to respond to regulatory requests and examinations and lead firms in their response to the SEC, FINRA, or state regulator's inquiries.
Code of Ethics Management
We maintain records related to RIA's Code of Ethics including review and confirmation of political contributions, personal trading, gifts and entertainment, email surveillance, and expert network call surveillance. We assist private funds in identifying MNPI and avoiding insider trading accusations.
RIA Compliance Training
We offer both focused training and firm-wide compliance training to give your personnel the knowledge and resources they need to operate effectively while mitigating risk.
NDA/Contract Review
We provide end-to-end negotiation, processing, and tracking of contracts and NDAs.
Outsourced CCO Services
Our Outsourced CCO packaged services provide an alternative to hiring a full-time CCO. As your named Chief Compliance Officer, we will take on the full responsibility of performing all required duties of the role.
Practice Management Consulting
With deep experience across a broad range of issues facing RIAs, we help manage risk in complex situations that require confidentiality, industry expertise and regulatory insight. In these sometimes tense situations, an independent assessment and opinion can be the difference between a successful decision and one that endangers your brand.
