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Direct Investment Onboarding

So you’re ready to onboard alternative investments, but are not sure where to begin? Aliso Solutions' Direct Investment Onboarding solution is a turnkey consulting engagement in which our experts will help your firm complete the necessary operational, compliance, and regulatory steps to begin utilizing non-traditional investments. In addition, we will help ensure that you are prepared to meet investor suitability and transaction regulatory requirements.

Key deliverables include:

  • Assist with the creation of an alternative investment program, including establishing firm-level sponsor and program concentration guidelines.

  • Assist with the updating of a firm’s Written Supervisory Procedures (WSPs)

  • Assist with the updating of the firm’s ADV Part II A

  • Assist with the creation / updating of certain key forms, including:

    • Advisory Services Fee Agreement

    • New Client Form

    • New Account Form

    • Investor Risk Tolerance Form

    • Investment Risk Disclosure Form

    • Switch Authorization Form

  • Assist with the creation of an Direct Investment Transaction Blotter, if needed.

  • Assist with resolving reporting and billing issues that arise when combining non-liquid alternative investments with liquid securities.

  • Assist with advisor product training requirements and other related supervisory procedures

  • Assist with understanding implications of key regulatory guidelines and rules

  • Assist with establishing procedures to stay in compliance with Blue Sky laws

  • Assist with establishing procedures to stay in compliance marketing, sales, and investor communications rules

  • Create / update firm-level investor suitability guidelines

  • Establish point-of-sale protocols for adhering to state-level investment concentration rules

  • Create / update Direct Investment Transaction Checklist

  • Create / update Advisor Attestation Form

Need more details? Contact us

We are here to assist. Contact us by phone or email.

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