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 30 clients across the U.S., Canada, and Europe, including investment advisors located in New York, Los Angeles, London, Toronto, Montreal, San Francisco, Seattle, Portland, Salt Lake City, Dallas, Philadelphia, and Vancouver. Please find below a sample of our clients:

Private fund & separate account manager ($50 billion AUM)

Fixed-income manager ($5 billion AUM)

Investment advisor/financial planner ($2.5 billion AUM)

Real Estate advisor ($400 million AUM)

Investment Advisor ($1.8 billion AUM)

Exempt Reporting Advisor ($30 million AUM)

Investment Advisor ($300 million AUM)

Exempt Reporting Advisor ($120 million AUM)

State Registered Advisor ($50 million AUM)

State Registered Advisor ($20 million AUM)

Private Equity Manager ($1.2 billion AUM)

Financial Planner ($10 million AUM)

Equity Manager ($650 million AUM)

Energy Fund Advisor ($20 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.