Strategic Fund & Investment Management Consulting
High-impact and effective consultancy services designed to streamline fund administration, ensure regulatory readiness, and optimize fund-service provider relationships.
Schedule a Consulting InquiryExecutive Advisory & Consulting Solutions
The regulatory, administration and operational environment for fund sponsors and fund boards is increasingly complex. Likewise, fund service providers must address these complexities. Maresca Governance Advisors provides high-impact strategic advice and solutions designed to streamline fund administration, ensure regulatory readiness, and optimize board-service provider relationships.
Specialized Consulting Engagements
Brand Ambassador and Industry Specialization
Strategic growth and industry expertise assisting fund service providers in expanding business development and optimizing client-facing solutions.
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Extensive Professional Network: Access to a curated professional network to assist in enhancing business development efforts in adding credibility and elevating firm's industry profile.
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Voice of the Customer: Extensive fund industry knowledge to assist in understanding the "voice of the customer."
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Chair to Industry Steering and Advisory Committees: Expertise in the establishment and operations of various industry committees to increase industry participation in product innovation.
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Workflow & AI Enhancements: Understanding industry "painpoints" and assist in implementing improved workflows and processes leveraging AI enhancements for state-of-the-art product and solution offerings.
SEC Regulatory Implementation & Modernization
Strategic counsel and execution frameworks for modernizing fund regulatory compliance, disclosures, and risk management systems in response to SEC rulemaking.
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Implementing new rules: Leveraging deep experience from leading industry templates and working groups to optimize disclosure production, delivery, and compliance costs.
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Valuation & Risk Rule Oversight (Rule 2a-5): Assisting boards and sponsors in establishing compliant valuation designation frameworks, particularly for illiquid and alternative assets.
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SEC Rulemaking Impact Analysis: Evaluating proposed and enacted SEC rules to determine practical operational and cost impacts for fund complexes.
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Custom RegTechAI Solution Development: Offering custom consulting engagements to design, test, and deploy bespoke AI utilities and solutions tailored to your fund, fund service providers and asset management firm's unique tech stack and operational work flows.
Service Provider Oversight & RFP Management
End-to-end evaluation, competitive RFP management, and contract benchmarking for core asset servicing, administration, custody, and transfer agency providers.
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Administrator & Custody Searches: Leading RFP processes for fund administration, accounting, transfer agency, and custody services.
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Contract & Fee Benchmarking: Reviewing service provider fee structures, service level agreements (SLAs), and operational performance to maximize cost efficiency and service quality.
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Vendor Migration & Oversight: Managing operational risk during fund transitions, service provider changes, or fund launches.
Board Governance & Audit Readiness
Comprehensive guidance for fund boards and audit committees to enhance meeting efficiency, audit readiness, internal control oversight, and board reporting packages.
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Audit Committee Optimization: Reviewing audit committee charters, reporting packages, and risk oversight frameworks to align with best practices.
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Board Material & Reporting Streamlining: Structuring concise, high-value reporting packages for board meetings to improve decision-making efficiency.
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Board Compensation Study and Analyses: Preparing director compensation studies to benchmark peer practices, ensuring compensation packages remain competitive to attract and retain qualified independent directors with specialized governance and financial expertise, while providing a defensible, market-based framework that aligns compensation with board workload and fund complexity while satisfying fiduciary standards and regulatory scrutiny.
Fund Operations & Servicer Oversight
Independent operational oversight of third-party administrators, custodians, and transfer agents to protect fund assets and verify calculation accuracy across outsourced environments.
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Servicer Due Diligence & RFPs: Strategic selection, contract negotiation, and fee benchmarking across major fund administrators and other fund service providers.
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SOC 1 / SOC 2 Controls Auditing: Deep-dive analysis of servicer control environments, exception reports, and operating bridge procedures.
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Transfer Agency Oversight: Verification of shareholder servicing SLAs, NSCC networking, and dividend processing.
Fractional Fund PFO & Treasurer Leadership
Turnkey Principal Financial Officer (PFO) and Treasurer leadership for launching or scaling registered investment vehicles (interval funds, closed-end funds, mutual funds, BDCs) and private credit structures.
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PFO Statutory Signing & Certification: Fulfilling Form N-CSR SOX 302/906 certifications and ensuring PFO/PAO regulatory compliance.
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Prospectus & Expense Structuring: Modeling expense caps, fee waivers, and startup cost amortization schedules.
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Audit Readiness & Clearance: Directing independent auditor relationships, year-end financial statement preparation, and PCAOB audit clearance.
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SEC Reporting Pipeline: Overseeing submission of Form N-CSR, Form N-PORT, Form N-CEN, and Tailored Shareholder Reports (TSR).
Client Engagement Models
Ongoing strategic counsel for Fund Boards and C-Suite Executives.
Targeted execution for RFPs, SEC rule implementations, or audit firm searches.
Custom educational sessions on emerging regulatory trends and governance practices.
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Frank J. Maresca
Chief Executive Officer, Maresca Governance Advisors
Independent Fund Director & Audit Committee Chair