Founded in 2005, Fairview® is a mid-sized, independent firm that provides high-end compliance support services to investment advisers, broker-dealers and other financial institutions. Fairview is 100% employee owned, which means we can spend all of our time and energy focusing on our two most valued audiences: our employees and our clients. We differentiate ourselves by partnering with our clients to provide tailored investment compliances services, rather than a one-size-fits-all approach.
To meet the growing demands of the financial compliance and backoffice industry, Fairview now has five lines:
- Fairview Investment Services (FIS) – Compliance for Registered Investment Advisers
- Fairview Investment Administration (FIA) – Private Fund Accounting and Investor Services
- Fairview Cyber (FC) – Cybersecurity Testing and Vendor Management
- Fairview Performance Services (FPS) – GIPS® Verification Services
- FilePoint® EDGAR Services and Financial Printing
LEADERSHIP TEAM
Frank Watson
President
Ellen Harvin
Vice President
John Marriott
Vice President
What Makes Us Different?
We offer compliance support as an ongoing service (including onsite regulatory exam support) which makes us very different from a consultant.
You are supported by a responsive team of compliance professionals, not just a single person who may be “on the road” most of the time and difficult to reach when you have question or need immediate compliance support.
We help our clients execute their compliance program proactively throughout the year.
We view ourselves as an extension of the firm’s compliance department.
We interact with the compliance and operations staff on a frequent basis through email, calls and visits.
We also coordinate required filings, help maintain policies and procedures, and assist with compliance program documentation and recordkeeping.
Competitors in Our Space
We compete with firms, such as “compliance consultants,” however, we offer additional services and follow a different business model. Our service is comprehensive with an operational and daily approach to compliance and eye toward addressing and resolving compliance issues instead of merely identifying compliance issues, limiting visits and charging an hourly rate.
Client Types
Fairview® supports advisers and other financial firms such as university endowments, family offices, soon-to-be-registered firms, broker dealers.
Our advisory clients manage separately managed accounts, registered investment companies, private funds (such as hedge funds and private equity funds) and closed end funds. Many of our advisory clients serve as sub-advisors while others oversee sub-advisors as part of their advisory services. Our clients are managers in wrap programs or sponsor wrap program.
Firms Assets Ranging From
$100M to $50B
Some of our advisory clients are affiliated with other entities including banks, broker-dealers, investment banking firms, general partner entities, accounting firms, hospitals and other investment advisers.
Client Locations
We are a national firm. Fairview®’s clients are located across the United States.
Fees
We negotiate an annual fee that can be billed monthly or quarterly. There are no additional charges for preparing for or attending routine regulatory exams, travel and no hourly rates for calls and meetings.
Client Strategies/Services
Fairview®’s compliance clients offer the following strategies and services:
Publicly-traded equity – Large Cap, All Cap, Small and Mid-Cap
Publicly-traded equity – Socially/Environmentally Responsible
Alternative investments
Corporate bond
Municipal bond
Private Equity
Real Estate
Long / Short
Balanced
CLO / CDO
Options / Derivatives
Quantitative models
ETF and Mutual Fund allocation
Financial Planning
Retirement plan consulting
Index Funds
Data & Information Security and Recovery
As a key service provider to our clients we are aware of the sensitivity of the information saved on our systems and the impact of our data and systems being either inaccessible due to a disaster or compromised as a result of a data security failure. We have taken steps to protect and recover client and firm data from loss due to a disaster event and to prevent and detect theft or misuse of client and firm data due to a network breach.
Staying Current with Industry Trends, Rules and Regulations
We are a member of the National Society of Compliance Professionals (NSCP) and a listed service provider for the Investment Adviser Association (IAA). We also attend conferences, webcasts and subscribe to industry resources including IA Watch, automatic SEC notifications/alerts and numerous law firm publications. We also work directly with several securities law firms and constantly monitor regulatory developments related to compliance for investment advisers and investment companies.
Fairview periodically publishes its Fairview® Flash Report which digests new/updated compliance-related rules, topics or trends for distribution to our client contacts and other interested parties. The purpose of the Fairview® Flash Report is to provide a quick read on what happened, how it might impact the recipient and alert them to any deadlines or important next steps.