Who we serve.

Money Managers

CCS provides chief compliance officer services to SEC registered institutional managers, hedge fund sponsors, wealth managers, and registered fund advisers. We also work with many fintech companies, such as robo-advisers and trading platforms, whose business models require SEC registration and compliance.

Registered Funds

CCS people serve as CCO to open-end mutual funds, closed-end funds, fund-of-funds, BDCs, interval funds, ETFs, and series trusts. We have experience with traditional asset classes as well as alternative assets such as private credit, collectibles, litigation financing,
e-sports, and crypto.

Private Equity

We service firms that invest in real estate, natural resources, distressed debt, operating companies, and infrastructure. We serve as CCO to PE firms that focus on growth, mezzanine financing, buyout, secondaries, international and venture.

Broker-Dealers

CCS has a dedicated team that services the unique needs of FINRA-regulated broker-dealers. We will completely assume the CCO role. Our clients include retail BDs, fund distributors, variable product advisers, financial planners, third party marketers, fintech platforms, and product specialists.

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The Compliance Advantage

The Compliance Advantage

Ten Must-Know Trends to Protect Your Investment Firm written by founder Todd Cipperman.

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