how can we help you?

• Private Placements
• Investment Banking
• Mergers and Acquisitions (M&A)
• Equity Trading
• Research
• Custody

Traditional futures and commodities managers (including CTAs, CPOs, IBs and FCMs) understand the detailed, time-consuming, and sometimes frustrating process of establishing and maintaining a CFTC and NFA compliant firm. 

Digital assets are distinctly different from traditional securities and we help managers think about dealing with exchanges (movement to and from, risk management), hot and cold storage, private key best practices, and OTC transactions. This is not off-the-shelf compliance, but bespoke development and implementation of controls specific for your firm.

For sponsors or proprietors of new digital protocols, we help you think about how your protocol may or may not be affected by the U.S. securities laws. We can help in the features or product development phase, or with the layer 2 aspects of dealing with your protocol. Everything we do for new protocols is bespoke and tailored, designed for operational excellence.

Aspect Advisor’s goal is to provide entrepreneurs with streamlined, cost-effective and common-sense methods to merge the traditional regulatory approach to the new way of doing business.

Our clients include groups registered as investment advisers with one or multiple states and the SEC. We have specific experience with internet-based investment advisers and robo-advisers.

Aspect understands these challenges and brings a depth of expertise in this area and will apply best practices for compliance given the constraints within the space. We approach compliance with efficiency in mind. We know our client’s resources are limited, and we strive to find the solution that fits with the Firm’s risk appetite, in the easiest, most cost-effective way possible.

Our team comes directly from this space. With over 30+ combined years as CCOs for several hybrid and independent RIAs, countless consulting engagements, and assisting clients SEC exams, our team knows what the SEC is looking for, and more importantly, the best practices to meet their requirements in an efficient manner. Our team also has deep expertise with broker-dealer compliance. This allows us to understand the unique relationship between the RIA and the custodian, whether an Independent RIA or a hybrid RIA. We understand the obligations on both sides and where they overlap and in some cases where they diverge and can advise accordingly.

Traditional investment advisers and wealth managers have been the backbone of the investment management industry. As their businesses evolve to meet the demands of a changing demographic equipped with on demand technology, the ways of previously dealing with compliance change.