Against a background of increasing regulation and continuing financial market volatility, investment & asset managers are facing mounting competition from foreign rivals and new entrants. The winners are likely to be companies that can sustain top-tier service through targeted customer segmentation, while curbing distribution and service costs. As access to market becomes increasingly critical and customers demand ever more personalised products and services, investment managers will also need to concentrate on fewer—and more effective—distributor relationships.

These challenges are being compounded by the cost and complexity of meeting new sales, reporting and prudential directives. On the plus side, effective compliance could strengthen stakeholder confidence and sharpen competitive differentiation in an increasingly crowded market place.


The current regulatory environment has investment management firms grappling with a growing number of requirements and expectations from both regulators and investors. The consequences of non-compliance with those requirements and expectations are regularly in the news and key stakeholders, such as investors, boards of directors, regulators and the public in general, are increasingly questioning the effectiveness of existing compliance programs.

A sound system of compliance controls is essential in protecting your firm from business, regulatory and reputational risks. A strong compliance function will also become a factor of increasing importance which will define and set a firm apart from its competition.

SCG investment & asset management regulatory team includes a group of experienced professionals with diverse backgrounds in the investment & asset management industries. With teams diverse backgrounds around the globe, we are able to assist our investment management clients anywhere in the world.

Our team includes:

  • Investment & Asset Management Professionals
  • Former SEC examiners and branch chiefs
  • Former Chief Compliance Officers
  • Forensics and investigations experts
  • Data and systems specialists


Our mission is to assist asset managers in identifying, assessing, and controlling business, operational, and compliance risk in an efficient and cost-effective manner. What sets SCG's investment management regulatory team apart is its commitment to learn and understand the unique operations of each investment management firm and provide tailored controls and solutions for your unique regulatory and compliance issues.

Our services

Among the services we commonly provide our clients are the following:


  • Compliance organization and program assessment
    • Analyzing the compliance organization, infrastructure, monitoring and governance programs. Assisting with potential governance automation, including the elimination of redundant controls


  • Compliance program development and implementation
    • Assisting in the development and implementation of the compliance organization, compliance program and compliance policies and procedures with an emphasis on operations and controls
    • SCG's integrated governance risk and compliance framework helps clients get positive assurance that their policies, procedures and control objectives are testable and control activities and risks are actively managed. Our standardized framework permits traceability from policy to the control tested and also creates a path for future governance automation.


  • Mock inspections
    • Performing mock inspections to assist in preparing for an SEC examination through mock SEC interviews, documentation review and testing by former SEC examiners


  • 206(4)-7 and 38a-1 compliance trust services
    • Testing compliance control objectives and activities defined by management using AICPA's SOP 07-2
    • Issuing attest opinions on the effectiveness of compliance control objectives and activities which can be shared with management and clients


  • Data analysis
    • Designing and performing tests of securities transactions to determine compliance with portfolio management, trading and personal securities policies and procedures


  • Due diligence
    • Performing regulatory compliance due diligence associated with acquisitions of investment management or distribution businesses
  • Investigations and litigation support
    • Investigating facts and analyzing data to quantify exposure, assess vulnerability and formulate strategy to mitigate enforcement and litigation risks
  • Compliance training
    • Advising in the development and delivery of effective compliance training programs



Business Brokerage & Acquisition

At SCG we understand that the purchase or sale of a business can change the course of your life. We are here to help you through this critical transition. What sets SCG apart from other brokerages is our deep commitment to our client's needs--we move quickly and are highly responsive, we know how to balance confidentiality and transparency, and we always provide rigorous valuations and strategic advice.

Selling a Business

We work with each client to construct a carefully tailored sales approach that balances the needs of transparency and marketing with the need for privacy and confidentiality.

We are firmly committed to establishing a trust-based relationship in every engagement. When we represent you, we only have one goal: finding a qualified buyer that delivers you the highest possible return on your investment (ROI). To that end, we are highly responsive and diligently work to facilitate the sale of your business. We don't sit on listings hoping we can earn fees from working both sides of a transaction. Instead, we will publicize your listing and gladly work with other brokers in the area, throughout the state, as well as nationally and internationally to ensure that you receive the highest price from a timely sale.

Buying a Business

We start each client engagement with a very important skill--we know how to listen. Read More...

Our job is to find a business opportunity that matches your interests, talents and finances. At SCG, our approach is not limited to identifying business opportunities and closing a deal. We want you to succeed in your new venture. Along with finding the right business, we will help you plan a transition that allows you to retain key clients, distributors and employees.

Our Approach to Brokering From the moment you contact us, you will know our firm has a distinctive approach. Five things set us apart from our competition:

We represent you. 

SCG strongly prefers to avoid potential conflicts of interest by only representing the buyer or seller. In this way, you know that our interests are aligned with yours.

Skilled professionals. 

Our partners have experience providing consulting and financial services to Fortune 500 companies. We leverage Wall Street experience and know-how for clients on Main Street.

Rigorous analytical approach. 

Our Tri-Valuation method is unrivaled. We're experts at assessing business opportunities.

Value-added services.

SCG is more than a business brokerage. We provide strategic advice on finance, operations, and marketing to optimize performance. We help sellers develop exit strategies and buyers manage their transition and hit the ground running.

Strategic Partnerships. 

We routinely draw on our extensive network of talented and skilled professionals to meet your needs. We steadfastly hold to our industry's Code of Ethics and Professional Standards by working with other brokers to facilitate business sales.

At SCG, we hold that business valuations are the foundation to a successful sale/purchase of a business, because transactions frequently fail when buyers, sellers and financiers cannot see eye to eye on value. We leverage our past experience and exploit access to the latest industry-level research and data to bring sound estimates to the table. To further mitigate against the complexity and uncertainty associated with valuing businesses, we employ our Tri-Valuation method:

Income-based Evaluation (IBE). 

We begin our assessment with a customized income based approach.

Our preferred method is Discounted Cash Flow (DCF) analysis, driven by a detailed evaluation of past and projected company financials and risk-appropriate discount rate. To capture value that is often hidden in small and middle-market companies, we modify our DCF to focus on Sellers Discretionary Earnings (SDE).


Asset-based Estimates (ABE). 

We also work onsite with our clients to develop a ground-up Asset Based Estimate (ABE).

In this way, SCG is able to uncover value that others are likely to miss. Inventory and Furniture, Fixtures, and Equipment (FFE) are important, but we pay especially close attention to lease agreements which frequently determine the success or failure of a business. We are also skilled at valuing intangible assets such as brand and goodwill.


Local Market Validation (LMV). 

In addition to these deductive and inductive approaches to valuation, we also combine national sales data with a supply-and-demand model that is tailored to the local economy.

Our LMV model, which is carefully tuned to industry and locality details, provides an accurate estimate of fair market value.


The transparency and robustness of our Tri-Valuation method helps frame discussions and focus buyers and sellers on a common price range. The result is a faster and smoother business sale.