Case Study

Securing Success: Strategic Leadership for SEC Compliance

Through strategic leadership recruitment, Boyden facilitated our client's transformation into a fully compliant SEC Registered Investment Advisor, strengthening their oversight model.

By Sean Myers

The Client

Our client is a privately held investment management firm working exclusively with ultra-high net worth investors and family foundations. 

The investment team has extensive experience in direct investing in all stages of venture capital, private equity, private credit, and public equities on a global basis.  Our client decided to become an SEC Registered Investment Manager requiring a detailed registration procedure and complete remake of the executive leadership team.  

The Solution

To address the gap in SEC regulated senior leadership experience, Boyden devised a comprehensive search strategy to recruit three key executives crucial for enhancing organizational growth and performance. The strategy involved meticulous planning, including defining roles and responsibilities, identifying desired skill sets and qualifications, leveraging industry networks and professional associations, utilizing extensive executive search experience, and conducting thorough interviews and assessments.  Through this strategic approach, the company successfully attracted top-tier talent, positioning itself for continued success and competitiveness in the investment management landscape.

This successful partnership concluded with the onboarding of an Chief Financial Officer, General Counsel and an SEC experienced Chief Compliance Officer.   This executive team designed and managed the registration process for what is now a fully operational SEC Registered Investment Manager advising over $10B in total assets. 

The Process

The Boyden Asset Management team has a deep track record within the regulated investment management industry.  Utilizing our extensive search experience and technical expertise within the finance, legal and compliance verticals; we successfully identified and delivered leading professionals for each position.  Our executive search process included a highly customized approach and direct partnership with the Founder and CEO and the firm’s Head of HR.  We developed three unique strategies to meet the challenges of each position and successfully recruited a rich candidate pool of highly qualified experts to help lead the organization.

The Result

Over a two year period, we successfully partnered with this investment manager and placed the firm’s CFO, General Counsel and Chief Compliance Officer. This executive team brought the technical SEC and Registered Investment Management experience necessary to build and implement an institutional quality oversight model.  This has allowed the organization to grow assets and onboard new clients that demand a rigorous due-diligence process. 

About the Author
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