Pera Advisory — Investment Adviser & Fund Compliance

What we do

Investment Adviser & Fund Compliance

Form ADV preparation and filing, SEC and state registration, and Exempt Reporting Adviser filings; private fund compliance for 3(c)(1) and 3(c)(7) vehicles; Family Office Rule structuring analysis; and ongoing support including annual amendments, Form CRS, custody-rule compliance, and Form PF coordination.

Form ADVRegistrationPrivate FundsForm PF

ii.

AML / KYC & Sanctions

AML/CFT program design and readiness, customer identification (CIP) and know-your-customer procedures, beneficial-ownership diligence, OFAC sanctions screening, suspicious-activity monitoring, and independent AML testing — including preparation for the investment adviser AML rule taking effect January 1, 2028.

AML/CFTKYC / CIPOFACSAR Readiness

iii.

Securities Offerings — Filings & Compliance

Regulation D private placements — Rule 506(b) and 506(c) compliance, Form D filings, state blue-sky notice filings, and accredited-investor verification support. Regulation Crowdfunding (Reg CF) — Form C filings and offering compliance.

Reg D506(b)/506(c)Reg CFBlue Sky

iv.

Marketing Rule & Advertising Compliance

Compliance with the SEC Marketing Rule (Rule 206(4)-1) — review of advertisements and marketing materials, testimonial and endorsement arrangements, performance presentations, and the related policies and recordkeeping.

Rule 206(4)-1TestimonialsPerformance Ads

Outsourced & Fractional Compliance

Fractional Chief Compliance Officer (CCO) services for advisers and funds; compliance program design and written policies and procedures; the annual compliance review under Rule 206(4)-7; and mock and regulatory examination preparation.

Fractional CCO206(4)-7Mock Exams

vi.

M&A & Transaction Compliance

Regulatory and compliance support across transactions — diligence on a target’s compliance posture, adviser change-of-control and assignment-consent analysis, and post-closing integration of compliance programs.

Reg DiligenceChange of ControlIntegration

How we work

You work with the principal

Every engagement is handled directly — the person reviewing your Form ADV is the one who answers when a question comes up, not a rotating bench of junior staff you never meet.

We work with your team

We coordinate with your auditors, fund administrators, and counsel rather than replacing them, so your compliance program fits the way your firm already runs.

Scoped, not padded

Each engagement is defined in writing at the outset — what is included, who is responsible, and how it is delivered — so the work stays accountable from filing to follow-through.

About

Luiggi Pera, Esq., MBA

Principal

AdmittedNew York Bar, 2014

Experience10+ years

PriorJP Morgan · Morgan Stanley

FounderMiventure (acquired)

BasedOrlando, Florida

Pera Advisory brings the compliance rigor built inside the world’s largest financial institutions to advisers and funds that want it without the overhead of one.

Luiggi Pera has spent more than a decade across the investment and compliance world. At JP Morgan and Morgan Stanley he built and ran AML programs and compliance frameworks for private funds raising from qualified clients, qualified purchasers, and high-net-worth investors — including compliance and structuring support for WeWork’s early master-feeder funds. He has worked directly with FINRA and the OCC and knows how their examiners think.

He went on to found Miventure, a private-investment platform that opened Reg D and Reg CF deals to a wider base of investors — which he ran end to end and later sold. That blend of institutional rigor and founder’s-eye experience is what every Pera Advisory engagement draws on.

Luiggi holds a J.D. from Thomas M. Cooley Law School, an MBA from the State University of New York, and a bachelor’s from the University of Central Florida.

Pera Advisory is a compliance and consulting firm; it does not provide legal services or practice law.

Compliance, handled — from registration to renewal.