Our Services

How We Work

At State Harbor we are all-in. Everything is included. This is the reason we only charge flat fees for project work and retainer fees for ongoing relationships. No hidden, one-off or hourly fees, so you never hesitate to contact us for questions large and small.

Our high-touch approach leverages our team's deep industry expertise to create tailored compliance programs. This means we act as an extension of your team, and are available when you need the help. We'll partner with you to define exactly what is needed to meet regulatory obligations and build a strong foundation of compliance.

Our Standard Services

Customized Compliance Policies and Procedures
Annual Compliance Program Reviews
Marketing Material Reviews
SEC Examination Support
Compliance Program Testing
Cybersecurity Policies and Procedures
Compliance Training
Regulatory Filings
SEC and State Investment Advisor Registration
Compliance Solution Implementation & Monitoring
Electronic Communication Surveillance & Monitoring
Employee personal trade policies
Due diligence reviews with potential investors
Annual Compliance Meeting