Services

CFO Services

PINE will act as the Chief Financial Officer (CFO) and handle the accounting functions for the management company and the Fund(s). PINE will interact with management on critical accounting functions such as bookkeeping, financial statement preparation, budgeting and forecasting and audit and tax. Below are the various services PINE will provide its clients:

  • Accounting (fund and management company)
  • Serve as mutual fund Principal Financial Officer
  • Expense processing
  • Administrator oversight
  • Treasury management and cash controls
  • HR management including payroll administration
  • Annual audit liaison
  • Audited financial statement coordination and review
  • Tax review
  • Fair value/ASC 820 assessment and review
  • Regulatory filings coordination and review
Regulatory Compliance Support

PINE will work with you to develop, implement and maintain a best in class compliance program customized to your firm. Whether you are an exempt reporting adviser, state-registered or SEC-registered, PINE will customize a program that is specific to your requirements. We also work to ensure that our clients can access information easily to ensure an efficient and functioning workflow. PINE maintains each of its clients’ requirements on a web-based portal that clients can access to review compliance materials, provide attestations and oversee vendor due diligence.

  • Regulatory support for SEC/CFTC/NFA and state registered advisers
  • Program development and implementation
  • Compliance training
  • Employee code of ethics monitoring and reporting
  • Investment advisor registration including Form ADV Part I and II
  • Portfolio compliance
  • Mock SEC exam/audit prep
  • Onsite inspection support services
  • 13F, 13G and 13D filings
Advisor/Fund Launch Services

PINE has extensive experience in structuring funds and building the necessary operational infrastructure for a successful investment advisory platform. PINE will evaluate your firm’s needs and design an operational workflow that will reduce manual processes and increase efficiencies. This exercise will include selecting the right technology and service providers that will allow your firm to scale in size and product type.

  • Entity formation
  • Fund structuring
  • Technology and system selection, negotiation and implementation
  • Service provider selection
  • Account openings
  • Prime brokerage interfacing
  • Trade file communication
  • Operations manual procedural build out
Operations Support Services

PINE understands the challenges associated with fund and adviser operations. Therefore we will work with you to develop a seamless middle office solution that will allow you to focus on your strengths. PINE will establish the middle office functions including shadow accounting, SMA accounting, trade settlement, reconciliation and client reporting, and will provide ongoing support to your front and back office functions.

  • Trade support
  • Internal reporting
  • Client reporting
  • Trade capture and allocation
  • Process documentation and workflow
  • Reconciliations
  • Trade settlement
  • Performance composites