NCA Compliance - Regulatory Compliance Consultant for RIAs

SEC EXPERIENCE WITH A DIFFERENT PERSPECTIVE

Our RIA clients include multi-billion dollar investment advisors, hedge funds, private equity funds, and financial planning firms.

We can provide a fresh perspective on your RIA compliance program. We are a boutique compliance consulting firm specializing in helping investment advisors, investment companies, mutual funds, and private funds nationwide establish, strengthen and improve their compliance programs.

Hayley Nelson

President and Principal Consultant

our clients

Our clientele continues to grow significantly over the past few years. We currently work with approximately 25 clients across the U.S., Canada, and Europe, including investment advisors located in New York, Los Angeles, Paris, London, San Francisco, San Diego, Seattle, Portland, Salt Lake City, Montreal, and Vancouver. Please find below a sample of our clients:

Private fund & separate account manager ($50 billion AUM)
Fixed-income manager ($4 billion AUM)
Investment advisor/financial planner ($1.2 billion AUM)
Global real estate and private equity manager ($50 billion AUM)
Family office and private fund advisor ($450 million AUM)
Investment advisor ($1.1 billion AUM)
State registered investment advisor ($90 million AUM)
Investment advisor/financial planner ($450 million AUM) State registered investment advisor ($85 million AUM) Global private fund sub-advisor ($300 million AUM) Private equity manager ($400 million AUM) Exempt Reporting Adviser ($130 million AUM)

SEC EXPERIENCE

Hayley Nelson previously worked at the Los Angeles Office of the U.S. Securities and Exchange Commission, where she conducted 50 examinations of investment advisors, investment companies, and hedge funds over a five year period. Over 20% of her examinations resulted in referrals to the SEC’s Division of Enforcement. (The average referral rate for IA/IC examinations is 5-10%). In 2004, she received a national award from the SEC for outstanding service. She has testified on behalf of the SEC on multiple occasions.