Compliance · Reporting
Compliance & Regulatory Dashboard
11/16 items complete · 5 pending
Investment Thesis
Proactive Compliance Reduces Regulatory Risk
Automated compliance tracking across SEC reporting, financial audits, valuations, and ESG governance ensures no filing deadlines are missed. Real-time dashboard visibility replaces quarterly manual checklists.
Implication 1
All regulatory filings (Form ADV, Form PF) completed on time with zero deficiencies across last 4 reporting cycles.
Implication 2
ILPA-compliant reporting and Big 4 audit integration streamline LP communication and reduce CCO workload by 40%.
Completed
11
of 16 items
In Progress
3
Active workstreams
Scheduled
2
Upcoming items
Completion
69%+8%
Overall progress
Compliance Completion69%
Regulatory
2/4 complete✓
SEC Form ADV annual update
CompleteJan 2026✓
Form PF quarterly filing
CompleteMar 2026●
Annual compliance review
In ProgressApr 2026○
LPAC annual meeting
ScheduledMay 2026Financial Reporting
3/4 complete✓
Annual audited financials (KPMG)
CompleteFeb 2026✓
Q1 capital account statements
CompleteMar 2026✓
ILPA template reporting
CompleteMar 2026●
Tax K-1 distributions
In ProgressApr 2026Valuation
4/4 complete✓
Q4 portfolio valuation (Duff & Phelps)
CompleteJan 2026✓
Q1 internal valuations
CompleteMar 2026✓
Valuation committee review
CompleteMar 2026✓
NAV reconciliation
CompleteMar 2026ESG & Governance
2/4 complete●
Annual ESG report (UNPRI)
In ProgressApr 2026✓
Portfolio ESG assessment
CompleteFeb 2026✓
DEI disclosure
CompleteJan 2026○
Cybersecurity assessment
ScheduledMay 2026