Adviser Registration and Compliance Program Setup
Registration filings, compliance manuals, policy implementation, service-provider guidance, cybersecurity, and initial firm-wide training.
Explore Our Services
Our Services
We are a full-service consulting firm that helps build practical, durable compliance programs that support growth and reduce risk.
Contact UsWhat We Do
Our Core Services
Ongoing Compliance Support
Annual reviews, personal-trading monitoring, training, regulatory advice, marketing-material reviews, filings, and SEC exam support.
Explore Our ServicesSpecialized Compliance Support
Outsourced CCO services, NFA/CFTC compliance, mock exams, diligence, fund launches, emerging-manager support, and post-acquisition reviews.
Explore Our ServicesCedar Mountain Consulting provides practical, comprehensive compliance support for investment advisers, private fund managers, business development companies, and private wealth managers. Our services span registration and compliance program setup, ongoing support, and specialized services, including outsourced CCO support.
Adviser Registration and Compliance Program Setup
- Prepare Form ADV and related filings, including Form U-4 as applicable.
- Provide guidance on regulatory requests and IAR licensing.
- Prepare a Compliance Manual.
- Assist with policy and procedure implementation.
- Provide guidance on service providers.
- Assist with cybersecurity policies.
- Provide initial firm-wide Advisers Act training.
Ongoing Compliance Support
- Develop and enhance compliance infrastructure.
- Conduct annual reviews of compliance programs.
- Code of Ethics Administration & Reviews.
- Monitor personal trading.
- Provide firm-wide compliance training.
- Provide regulatory updates, consultation, and advice.
- Marketing & Advertising Reviews.
- Support regulatory filings, including Forms ADV, PF, and 13F.
- Provide SEC exam support.
Specialized Compliance Support
- Outsourced Chief Compliance Officer services.
- NFA/CFTC Compliance Program setup and ongoing support.
- Strategic SEC exam support.
- SEC mock audits.
- Operational and compliance diligence.
- Fund launch services.
- Tailored emerging manager compliance support.
- Post-acquisition compliance program review.
Specialized Compliance Support
Technology-Agnostic Compliance Solutions
Cedar Mountain is technology-agnostic and works with leading compliance technology providers. Our senior professionals preview platform options with clients, help evaluate functionality and fit, and provide independent guidance in selecting the solution that best supports each client’s compliance program and business needs.
Experienced leadership
Practical, senior-level guidance.
We work alongside firms that need clear regulatory direction, strong operational controls, and a compliance partner who understands the realities of running a fund or adviser business.