About Us

Whether you are setting up an investment firm, are unsure if your firm is in compliance, or have limited resources to dedicate towards regulatory needs, State Harbor can help make sense of the regulatory landscape so you can focus on managing your business.

We understand your desire to manage money and build a successful firm. There is no need to let regulatory requirements stand in the way of that endeavor. Our approach is to integrate the two in an efficient manner so you can tend to the business at hand and the firm operates in a regulatory compliant manner. In short, we approach regulatory compliance from a business perspective.

Frequently Asked Questions

What is Regulatory Compliance?

Regulatory Compliance is primarily a books and records exercise. How well that exercise is managed will determine the firm’s ability to meet its regulatory requirements. We view regulators not as the enemy but rather industry professionals whose focus – protecting investors and maintaining orderly markets - also happens to benefit your clients. Our approach, therefore, is to integrate the various rules and regulations into the fabric of your business so it runs smoothly and efficiently.

With over three decades of experience in the regulatory world, we have a keen understanding of the things regulators look for – namely the structure of your compliance program and the firm’s commitment to the program.

What is our background?

Our experience has been gained from a variety of sources, including:

SEC, NFA, FINRA and state regulatory audits
Serving as Chief Compliance Officer for Investment Advisor and Broker Dealer firms
Founding and managing investment advisory firms
Working with a variety of institutional and individual investors
Developing and managing regulatory compliant marketing programs

What types of firms do we work with?

Our clients cover a number of different regulatory structures:

SEC Registered Investment Advisers
State Registered Investment Advisers
Exempt Reporting Advisers
Commodity Trading Advisers
Commodity Pool Operators

Many of our clients manage private funds, both US and offshore domiciled, as well as separately managed accounts for individuals and institutions. They represent a number of different investment strategies ranging from equity long/short and convertible arbitrage to private equity and derivatives trading.

Does my firm need to have compliance experience?

In most cases our clients come to us with little or no compliance experience, no Chief Compliance Officer and inadequate or boilerplate compliance documents. In short, a regulatory mess. This is where we shine – structuring or rebuilding a compliance program that fits the needs of the business and putting that business on a strong regulatory footing.