PRIVATE FUNDS

private funds

Swayze LLC offers a unique advantage if you are either starting a new fund or managing an existing fund.

Our private fund clients vary in terms of size and strategy, but each has a team of experienced professionals guiding their performance. Swayze LLC’s in-depth understanding of compliance and regulations as well as the business aspect of fund managers enables us to “translate” what regulators want into the private fund context, which can limit frustration, expense, and intrusion on your business.

KEEPING THINGS SIMPLE, SO YOU CAN FOCUS ON THE NOT-SO-SIMPLE THINGS.

Compliance Services for Private Funds are highly customized to the need of our clients but some of the services we offer include:
  • Turn-key compliance paperwork (U-4s, U-5s, exams, Form PF, ADV updates, Regulation D, 13F, personal securities monitoring, email reviews)
  • Preparation and negotiation of side letters and non-disclosure agreements
  • Required annual compliance review and registration renewals
  • Production and delivery of required compliance documents to your investors
  • Preparation and review of offering materials, including due diligence questionnaires, RFPs, PPM/OM, and any other client deliverables
  • Annual reviews/Mock audits
  • Service Provider Reviews
  • Information Security Review
  • Advertising Reviews

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