A PRACTITIONER’S HANDBOOK is finally a reference book that answers the questions many people involved in compliance at investment advisory firms, hedge funds, family offices, venture capital funds and private equity funds face in their day-to-day compliance routine. It is written for executives, as well as staff.

It is vital for hitting the key requirements in the Act. It tells you what to think about when you are starting out, as well as what to watch out for when you are already a seasoned practitioner. It is written to make compliance accessible, easy to read, in plain English, concise and pragmatic, with many charts and graphs for ease of use.

Specifically, it tells you:

  • How you find out whether to register, and with whom
  • How Dodd Frank has dramatically changed the regulatory landscape
  • What it means to register with the SEC or with a state
  • Whether you may fall within the scope of one of the newly created exemptions
  • What it means to be an exempt reporting adviser
  • How to tackle the new reporting requirements on Form ADV and Form PF
  • How to register and what it means to be registered
  • How to stay on top of your day-to-day duties as an adviser under the Act.

“I finally wrote the book that I had been looking for after starting my own practice, mostly to help clients out. I hope you find it as helpful as I intend it to be.”
– Bettina Eckerle


The book is available at