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