Our Solutions
We provide customized solutions for every client. Our operations services, compliance and legal solutions are designed to fit your firms specific needs. Let us help you optimize your business.
Who We Serve
Allegiant’s Financial Services and Asset Management expertise is designed to provide support to firms ranging from start-ups to large institutions. We have the experience necessary for the formation, design, and development of an optimal framework for your new or growing business. We will also provide our expertise to your seasoned business for continued success.
• Investment Advisers
• Hedge Funds
• Private Equity Firms
• Family Offices
• Mutual Funds
• Broker – Dealers
• ETFs
• CFTC / NFA Members
Operations
Outsourced COO
Implementation of Systems and Testing
Proxy Management
Disaster Recovery and Business Continuity
Assessment and Development of Operational Infrastructure
Human Resources – Personnel Onboarding/ Offboarding, Employment Agreements, and Handbooks
Cybersecurity Assessment
Compliance and Legal Solutions*
Outsourced Chief Compliance Officer and General Counsel
Board Directorships (US and International)
Risk Assessments and Compliance Testing
Mock Regulatory Examinations
Policies and Procedures – Drafting and Testing
Marketing Materials – Development and Review Training
Fund Formation and Structure
ESG Advisory
Internal Monitoring - Email, Social Media and Political Contributions
Rule 206(4)-7 Compliance Manuals, Employee Handbooks, Code of Ethics
Regulatory Filings
Firm & New Employee Compliance Training
Note: * Legal Services are provided by our affiliated law firm, Tortora & Cielusniak Law, LLP