Investment adviser compliance operations
The technology and operational side of adviser compliance. Not the legal filings, but the systems underneath them that actually have to work.
What gets built
Access management, data governance, books and records, vendor risk, business continuity, and documentation you can hand an examiner without scrambling.
Knox Technology Advisors built these controls for a venture firm whose AUM and investment strategy meant SEC registration was never actually required. But like most firms in that period, the firm did the work to evaluate the requirements and confirm where it stood rather than assume. That meant learning exactly where an exempt reporting adviser's obligations end and a registered adviser's begin, and what that actually demands of your systems, not just your policy binder. Firms crossing that threshold usually find the technology gap late, and it's expensive by then.
Who it's for
Good fit if you're a venture or private equity firm approaching registration thresholds, growing past the point where compliance can be someone's second job, or getting ready for an examination.
One note on scope. This practice works alongside your compliance counsel or CCO on the regulatory calls, handling the operational and technology side rather than the legal advice.
Typical shape: 3–4 week readiness assessment, fixed fee scoped on the intro call.
Is this the right fit?
The first call is 30 minutes and costs nothing. If this isn't the right fit, you'll hear that on the call, which happens more often than you might expect.
All six services, or see what this practice knows cold and what it doesn't.