Offering Exceptional Service ...

Barge Consulting offers a variety of SEC consulting services. These services provide a strong foundation in the fundamentals of investment advisory regulatory compliance, as well as an overview of the underlying rules and regulations, along with complex, advanced concepts in the area of compliance.

Barge Consulting Solutions

  1. BulletAnnual Review Assessment - The SEC has increased the number of enforcement cases for violations under the Investment Advisers Act of 1940. Barge Consulting, LLC conducts an in depth analysis of the firms internal controls, providing for a highly compliant investment firm.

  2. BulletMock Regulatory Examinations - We provide clients a mock experience similar to that of an SEC inspection. Our staff has more than 100 years of regulatory experience and have assisted clients during their inspection.

  3. BulletPolicies and Procedures Development - We review and/or develop trading procedures as it relates to best execution, soft dollars, trading errors, and broker selection that are concise, easy to read, and include a vast amount of beneficial information. 

  4. BulletEnterprise Risk Management - We assist firms with insuring effective processes to identify, access, mitigate, and manage compliance and ethics risks across the organization.

  5. BulletFocused Projects - Customized assignments with specific objectives are agreed upon with clients in advance. Deadlines are established with regular updates on progression.

  6. BulletDue Diligence Review - Oversight of investment managers on behalf of Plan Sponsors, Fund of Funds, Family Offices and Pension Consultants is provided on both an initial and ongoing basis. A risk analysis can help fiduciary meet their goals.

  7. BulletAnti-Money Laundering Review - Recently proposed rules require investment advisers to develop a AML program. Our team will assist with training and testing of the program.

  8. BulletExpert Witness Testimony - Our compliance consultants have participated in numerous enforcement cases as expert witnesses. We have also been appointed to serve as “Special Monitor” in SEC investigations.

© Copyright 2016 Barge Consulting, LLC. All rights reserved.

Barge Consulting, LLC

6555 Sugarloaf Pkwy

Suite 307-104

Duluth, GA 30097

Phone: 678.765.7572

Fax: 678.765.7561

Our Clients Are

Investment Advisers

Hedge Funds

Investment Companies

Investment Consultants

Private Equity

Plan Sponsors

Family Offices