Services.
Investment Advisers
Private Funds
Family Offices
Broker Dealers
Our full range of services include registration, development of compliance programs, on-going compliance support, and mock SEC examinations.
We offer a broad range of services designed to assist our private fund clients in managing their regulatory risk. Our services cover SEC and state registration, risk management, compliance program development, support, and regulatory advisory services.
Our regulatory and compliance services cover family offices that do not qualify for the exclusion from SEC registration under the Family Office Rule. Family offices require a highly individualized approach to compliance with the Advisers Act.
PFCG's broker dealer clients cover a broad range of activities, including general securities, investment company products, public finance, institutional equity, fixed income trading, private placements and mergers and acquisitions.