Traditional RIAs, Wealth Managers & Multi-Family Offices

The independent RIA model has never been more popular, fueled in part by the myriad operational and investment support solutions available in today’s market. Nevertheless, while the ease of transitioning from the large banks and wirehouses has improved greatly, the compliance burden still causes trouble for many firms.

Greyline’s professionals have strong ties to the independent RIA channels, working with both traditional breakaway brokers, as well as the larger well-established wealth management platforms.

For tenured RIAs, Greyline provides highly customized consulting services specifically designed to each firm’s unique needs and objectives. Often times working alongside internal compliance teams, we can assume a variety of different functions. That can include completion of basic compliance tasks, including policy development, code of ethics administration, employee training, marketing and advertising reviews, compliance calendar maintenance, and 206(4)-7 annual reviews. But it also can include high-level advisory services – such as structuring of supervisory structures, systems integration, improvement of operational efficiencies, and support related to M&A, “tuck-ins” and other organizational developments.

For new RIAs and those that run a leaner staffing model, Greyline offers the RIA Compliance Officer Program, which is specially designed to satisfy a RIA’s basic compliance obligations without the bells and whistles that are necessary for a more complicated organization. While somewhat less customized than our more comprehensive engagements, this program is very much tailored for the RIA model and still goes above and beyond other cookie-cutter solutions. Rather than simply instructing what RIAs need to be done, we undertake much of the “doing” while leveraging our proprietary technology to streamline processes and minimize costs. 

Greyline Insights Q3 2021

Exciting Opportunities Ahead As we begin to wrap up 2021, we are grateful to be gradually moving back into our respective Greyline offices, and we hope our clients are also

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Darren Mooney

Partner and Co-Head of Business Development

Darren Mooney is a Partner and the Co-Head of Business Development at Greyline. Before joining Greyline, Darren served as deputy chief compliance officer of Partner Fund Management where he held primary responsibility for the compliance program of the second-largest hedge fund in the Bay Area. Prior to that, Darren spent five years providing compliance consulting services at Cordium and then ACA Compliance Group, where he led the company’s San Francisco office and west coast operations. In addition to providing ongoing consulting services to a variety of investment managers, including hedge fund, private equity, venture capital, real estate, quantitative and other wealth managers, Darren also regularly guided clients through the SEC registration process, implemented tailored compliance programs, supported clients’ live SEC exams, and served as an SEC-mandated independent compliance consultant following an SEC enforcement action. Darren’s other experience includes serving as deputy chief compliance officer and associate counsel at F-Squared Investments where he directly supported the compliance program during the investigation and subsequent enforcement regarding historical advertising practices. Darren has a B.S. in Economics from the University of Delaware and a J.D. from Suffolk University Law School. He is a member of the Massachusetts bar.

Annie Kong

Partner and Head of Venture Capital
Annie Kong is a Partner and Head of the Venture Capital Division at Greyline. She provides ongoing compliance consulting to investment advisers and manages client relationships. Prior to joining Greyline, Annie was part of compliance and operations at a long-only manager-of-managers that advised pension fund clients. While there, she conducted compliance and operational due diligence on SEC-registered investment advisers on the platform. She also oversaw and counseled on various legal matters across the firm. Annie has a B.A. in Economics from the University of California, San Diego, and a J.D. from the University of San Diego School of Law. She is an active member of the State Bar of California.
Greyline is pleased to announce that we are the recipient of the 2021 HFM U.S. Service Award in the Best Technology Firm – Newcomer category.