Practical analysis for investment professionals

Adam DiPaolo

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Adam DiPaolo is associate general counsel and senior consultant at Ascendant Compliance Management. He designs practical solutions to manage regulatory challenges faced by hedge funds, private equity funds, funds of funds, and other investment advisers. In addition to providing compliance services such as annual compliance program reviews and mock audits, he established Ascendant’s Section 13 reporting capabilities and EDGAR filing agent services. He drafts and maintains corporate filings ranging from Forms ADV and PF to Forms 13F and 13H. DiPaolo also provides cybersecurity risk management services to Ascendant’s clients as part of Ascendant’s technology team. These services range from network vulnerability scanning to on-site cybersecurity risk assessments to assistance in implementing the NIST cybersecurity framework. He is a Certified Information Systems Auditor (CISA®) and is Certified in Risk and Information Systems Control (CRISC™). DiPaolo practiced corporate law prior to joining Ascendant and has an extensive background in both the public and private sectors. He earned his BA from Pitzer College, his JD from UC Berkeley – Boalt Hall School of Law, and his LLM in taxation from New York University School of Law. He is a member of the New York State Bar.

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10 Rules for Marketing Alternative Funds

Unforced errors in their advertising can undermine the credibility alternative asset managers work so hard to build. These 10 guidelines can help prevent such mistakes.

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