We serve a diverse client type consisting of mutual funds, fund administrators, hedge funds, law firms,
broker-dealers and investment advisors, as well as other compliance firms lacking blue sky expertise.
Positioned as a value provider, our pricing tier can generate meaningful savings, especially if compared to
a law firm services.

Our fixed fee format allows for predictable and efficient budgeting or annual compliance obligations. Our
blue sky regulatory analysis includes detailed findings for each state, listing multiple exemptions when
available. We reference the state statute and identify the statute parameters, as well as comments, when we
can apply insight of the state regulations.

Our Services

mutual funds

Open end or closed end exemption application (per transaction)

hedge funds

Fund formation, Form D filing and State Blue Sky Annual Filings, Annual Fund Regulatory maintenance
Registration of Investment Adviser

alternative investment funds

Audit and determine Blue Sky Statues, Foreign and Domestic
Monitor sales data to maintain Blue Sky exemptions
Annual filings and maintenance sales data

New Issues

Private Funds: exemption research, state registration and monitoring
Public: S-1, IPO’s
Secondary Trading

investment advisor | broker dealer

IA Registration and ADV updates and maintenance
Compliance supervision and monitoring

NON-COVERED SECURITIES, INCLUDING SPOSONRED & UNSPONSORED ADR’S

Blue Sky surveillance and monitoring