Private Fund Services

Chief Financial Officer Services

PINE will assume the Chief Financial Officer (CFO) role and provide accounting and fund oversight support to the management company and your Funds. PINE has expertise with traditional hedge, venture capital, private equity, fund-of-funds, co-investment vehicles and special purpose entities.

  • Management Company
  • Oversight of corporate accounting books and records
  • Review and reconcile monthly cash, bank accounts, and credit cards
  • Collection of management and performance-based fees
  • Review and process vendor invoices and expense reports
  • Generate and review monthly financial statements
  • Fund Oversight
  • Oversight of fund administrator and timely distribution of deliverables
  • Independent review of the NAV as prepared by the Administrator
  • Determine and process fund-level expenses
  • Verify management and performance fees
  • Lead the coordination of the annual audit and tax process
  • Review and sign off on the Funds’ annual report
  • Review and approve K-1s and tax returns
  • Review and approve capital call notices and income and capital distributions to investors

Regulatory Compliance Support Services

PINE offers customized regulatory compliance support solutions to asset managers focusing on pooled investment vehicles, both registered and private. PINE acts as your support staff and assists in the oversight of the firm’s compliance program. PINE serves State and SEC-registered investment advisers, Exempt Reporting Advisers and CFTC/NFA Advisers.

  • Review and design firm specific compliance policies and procedures
  • Maintain firm specific compliance calendars
  • Conduct compliance policy and procedure testing
  • Prepare quarterly and annual written compliance review
  • Conduct initial and ongoing employee compliance training
  • Initiate periodic vendor due diligence
  • Design, business continuity, disaster recovery and cyber security policies and procedures
  • Marketing and advertising disclosure review
  • Mock SEC exam and audit preparation
  • Assistance with regulatory filings, including Form ADV, U4s, State registration filings and Section 13 filings