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Compliance & Fund Operations for Family Offices
Fractional CCO, ERA filings, and investment operations for single- and multi-family offices.
Where Family Offices compliance breaks down
Family office rule analysis
Determining if you qualify under Rule 202(a)(11)(G)-1 versus registration as an RIA or ERA.
Direct investment operations
Managing co-investments, SPVs, and direct private deals without institutional fund infrastructure.
Manager due diligence
Vetting outside managers, funds, and allocators without a full in-house ops team.
Governance & recordkeeping
Board minutes, IPS updates, and books & records maintained on the family's timeline, not a spreadsheet's.
How FIN Group helps
Fractional CCO
Named CCO coverage sized to your operating tempo.
ERA & Family Office Rule Filings
Registration analysis, Form ADV Part 1A, exempt reporting.
InvestPrep — Private Capital OS
SPVs, co-investments, capital calls, waterfalls.
Due Diligence
Manager ODD, subscription-document review, fund selection.
FAQ
Does my family office need to register with the SEC?
It depends on how you meet Rule 202(a)(11)(G)-1 (family clients, family ownership, no holding out). We run the analysis and, if you don't qualify, walk you into ERA or RIA registration.
Can you support direct investments and SPVs?
Yes — InvestPrep handles SPV formation records, capital calls, distribution waterfalls, K-1 support, and investor communications for family office direct deals.
Do you offer conflict-free manager due diligence?
Yes. Our ODD service reviews outside GPs, funds, and allocators against a documented scorecard — we don't take manager referral fees.
Talk to a Family Offices specialist
Fractional CCO, filings, and technology — sized to your firm.