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Barge Consulting offers a variety of SEC consulting services. These services provide a strong foundation in the fundamentals of investment advisory regulatory compliance, as well as an overview of the underlying rules and regulations, along with complex, advanced concepts in the area of compliance.

Our Clients

Investment Advisers
Hedge Funds
Investment Companies
Investment Consultants
Private Equity
Plan Sponsors
Family Offices
Governments

What Some of Our Clients
are Saying About Us

"We have been working with Barge Consulting since the inception of our firm in 2000. Marvin and his team helped us build our compliance infrastructure and make continuous improvements to it over the years. Barge Consulting also helped us navigate through two SEC audits. Their responsiveness to our needs and the advice they offer us has made them a valuable partner for our firm. It has been a good experience working with Barge Consulting and we are pleased to recommend them."

"Barge Consulting was instrumental in helping our firm develop a sound compliance program. Rather than take an “out-of-the-box” approach, Barge helped us craft a compliance program which addressed compliance risks associated with our particular business model. Barge continues to be an invaluable resource to our firm as our business evolves."


"Our firm, a registered investment advisor, engaged Barge Consulting to conduct a mock SEC audit of our compliance practices. We implemented the specific recommendations from Barge from the mock audit, including suggested enhancement of our historical investment performance reporting. Marvin and his colleague Debbie Lynch's input and counsel were very helpful as we recently positively concluded an actual SEC staff exam."

"We have enjoyed a long standing relationship with Barge Consulting, LLC since our inception. The firm is responsible for our registration and help established our initial infrastructure. Barge Consulting has worked with us over the years in establishing and enhancing our firm’s Compliance program. The wealth of knowledge the Barge team provides our many departments on best practices has been invaluable."

"We have been fortunate to utilize the services of Barge Consulting for almost two decades. The firms in depth knowledge of both regulatory compliance issues as well as best practices in the investment management industry has served as a foundation for much of our firm’s past success."

 "Barge Consulting has provided our registered investment advisory firm outstanding compliance consulting services since our establishment four years ago. Barge originally set-up all our compliance policies and procedures and help navigate the complexities of SEC registration. Subsequently, our firm has completed two limited scope examinations by the SEC and Barge’s onsite expertise and guidance during the exams were extremely valuable during this process. As compliance becomes increasingly complex, Barge continues to provide valuable feedback on a number of issues and questions as well as semiannual review assessments. We highly recommend Barge Consulting as your compliance partner."