Compliance Expertise to Match your Investment Acumen
Ongoing Program Management
Your compliance requirements don’t end with your registration (either with the SEC or your state), but should become an integral set of best practices that protect your client’s interests and your business operations. RiverBend provides ongoing assistance including retainer based advising as well as fully outsourced CCO services.
Initial Registration and Program Design
The regulatory world for new advisers is mind-bendingly complex and requires skill, knowledge, and experience to navigate. RiverBend will translate your business into an efficient compliance process. RiverBend has worked with the SEC and numerous state securities agencies in managing the registration process so that you can focus on investing and fundraising.
Mock Audits and Special Projects
An outside voice can provide additional perspective, ideas, and insight that can bring your compliance program to where you want it to be. RiverBend can provide this outside perspective through mock audits, education and training, ADV review or preparation, or drafting/review of policies and procedures.
Who We Work With
Cryptocurrency
The compliance and demands of cryptocurrency investments are ever changing, and getting good advice can be challenging and expensive. Having worked with token issuers, investors, traders, and core cryptocurrency service providers, RiverBend brings a wholistic approach to cryptocurrency investing solutions. RiverBend’s expertise and comfort with cryptocurrency can give you the assurance you and your investors need.
Private Equity
Private Equity investing creates it’s own distinct set of compliance challenges and RiverBend can assist with issues and concerns related to conflicts of interest, fees, and other matters, as well as understanding and meeting the basic demands of the SEC.
Equity Asset Managers
As a small or emerging asset manager, getting compliance right isn’t the first item on your list. And while it can seem like a burden, its an important investment, not only to meet your regulatory requirements, but to meet the demands of your clients. Hiring the right compliance partner gives you the space to focus on investing, client service, and capital raising, and lets a trusted partner provide the assistance you need.
We’re experienced
so you don’t have to be
RiverBend is a boutique firm that provides advisory solutions for financial services organizations as they grow and develop. We can help with your one-time or ongoing needs. Centrally located in Chicago, we work nationally and virtually. We’re flexible, reliable, and solutions-focused.
Randy Heinig, Managing Director
Randy Heinig, the founder and Managing Director of RiverBend, is a seasoned lawyer and compliance professional with several decades of experience working with securities laws and investment regulations. He has also worked closely with multiple cryptocurrency start-ups, including issuers, investors, lenders, private funds, and mining/technology companies. Randy served as the Chief Legal and Compliance Officer at two registered investment advisers drafting and implementing tailored policies, procedures, and codes of ethics, and as a strategy and compliance consultant to numerous others.
Randy earned a BA from Wheaton College (IL), an MA at the University of Notre Dame, and his JD from the Yale Law School, where he was a John M. Olin Fellow in Law and Economics. Randy is admitted to practice in Illinois and the Northern District of Illinois, and holds a Series 65 license.
Randy serves as an advisor and pro bono attorney to New Moms, a provider partnering with young moms and their children to improve economic mobility, as well as a co-founder of the Fellowship in Public Interest Law at Wheaton College.
CONTACT INFO
Based in Chicago, but working for you.
Get in Touch:
312.590.1084
rheinig@riverbendadvisorysolutions.com
