US SEC Registration


For US-based hedge funds, we provide high-touch company registration and authorization services for both the Securities Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).

Ongoing compliance programs for hedge funds

Hedge fund programs

Our SEC registration programs for hedge funds work in parallel with your Chief Compliance Officer in order to assist with the registration process and implement a tailored compliance manual. We will assist you in developing a compliance program that includes policy and procedures design and administration and that is consistent with the Investment Advisers Act of 1940 (the “Adviser’s Act”).

SEC Form ADV filings

Our registration programs include working closely with you to complete all parts of your Form ADV registration including Form ADV Part 1A, Form ADV Part 2A (the “Brochure”) and Form CRS (your client relationship summary) where applicable. We will file your initial Form D in addition to supporting your ongoing state Blue Sky filings where necessary. Once authorized, we provide ongoing support for SEC filings and annual reporting obligations.

Outsourced Compliance Provider

Is an outsourced CCO appropriate for your organization? Our guide can help you decide what is suitable for you by breaking down SEC guidance on CCO best practices, noting where outsourced CCOs struggle, and offering advice on how to effectively use outside compliance providers.

Exemptions from SEC registration

Filing a Form ADV ERA

If your business is not required to register with the SEC due to a relevant exemption, we will work with you to file Form ADV ERA as an exempt reporting adviser and tailor a compliance program consistent with your exemption status that meets all relevant aspects of the Adviser’s Act.

SEC registration for foreign advisers

Non-US investment advisers, with no principal place of business within the United States (“Foreign Advisers”), providing investment advice to United States persons (including funds with US investors) are subject to the Investment Advisers Act of 1940 (the “Advisers Act”). Foreign Advisers must register with the SEC, subject to certain minimum threshold requirements, unless eligible for an exemption.

Path to Registration

To read our detailed examination of the three primary exemptions that are applicable to foreign advisers under the Advisers Act.

We work closely with each investment adviser to administer policies and procedures designed to mitigate your compliance risk. To learn more about our SEC registration services, get in touch with a Kingsley Compliance Solutions representative today.

Banking and Financial Services
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US SEC Registration
Partner & Co-Founder
Vice President