Investment Management

Why Choose C&A?

C&A Consulting provides advisory consulting engagements to leading investment, asset and wealth management firms and public sector organizations, in areas of transforming core operations and business controls, technology, risk, compliance and business continuity.

C&A Consultants bring innovative ideas and out-of-the-box thinking to evolve and transform core business and technology core Investment Operations functions, processes, platforms and staff resources to achieve sustainable results and build long-term value for organizations.

We listen to your goals and objectives, then present our vision, combined with hands-on program delivery and execution by a team of experts.  C&A takes pride in developing executable operating strategies and technology deployments, while partnering with innovative third-party solution and service providers.

Our consultants, many of whom are experienced senior management C-Suite executives (CEO, COO, CTO, CFO), have directed line management operations, yielding substantial improvements in efficiency, compliance, and sustainable operations for top asset, wealth management firms, hedge funds and public investment funds.

Our goal is to ensure your organization evolves to support the demanding business and technology requirements of serving your customers, investors and beneficiaries to achieve performance excellence, to sustain the business, and to drive long-term value and growth.

  • C&A Consulting is at the forefront of advising organizations throughout the business operations spectrum — core functions, processes, platforms and staff resources.
    • Our clients experience the benefits of our comprehensive cross-enterprise assessments across multiple operating functions.
    • C&A‘s expertise involves designing new front-office systems, processing of multi-asset strategies, designing efficient middle- and back-office functions, and building out a strong holistic operations function that can readily support and adapt to meet dynamic investment strategies (for example, investment books and records, treasury, cash management, trading, etc.)
  • C&A performs strategic operational reviews and business model assessments with independent evaluation of asset management operations.
  • We specialize in advising private firms and state pension investment funds on complex outsourcing strategies and their related infrastructure needs, investment performance management, data governance and due diligence reviews of acquisitions.

Our assessment and recommendations are geared towards Operations functions supporting:

  • Diverse asset classes, including complex and innovative strategies (Public Equities, Public Fixed Income, Multi-Asset, Private Equity, Private Debt, Real Estate, Hedge Funds with complex Alpha and Beta overlay structure)
  • Diverse traditional and complex investment instruments and derivatives
  • An enterprise view with a focus on investment and operational risk and liquidity management
  • Demand for greater transparency
  • Sustainable efficiencies

As your trusted advisor, C&A Consulting aids clients to achieve complex and strategic transformations, often concurrently leveraging technology solutions and 3rd-party tools to support your vision and plans.

C&A Consulting is passionate about collaborating with clients.

  • Our goal is to provide unmatched consulting services and game-changing ideas for the investment management industry, including alternative assets, private equity, multiple asset classes, hedge funds, public equities, fixed income, real estate, private debt, and derivatives.
  • We lead with transformational thinking and innovative strategies that yield creative solutions.
  • Our consultants are problem-solvers who like tackling complex business operating and technology challenges to drive business transformation, create operating efficiencies and leverage disruptive technology forces and position your company for success.
  • C&A Consulting practitioners deliver practical solutions and insight into financial regulatory trends that produce long-term benefits and operating success.
  • We deliver world-class operational, technology and strategic consulting services for our clients. We work with industry leaders and their executive business and information technology teams to deliver proven outcomes and leading-edge thinking and solutions.  Our approach is grounded in standard process methodologies, proof-of-concept and execution.  Our practitioners have extensive experience in leading strategic engagements and tactical execution to deliver real outcomes.
  • As seasoned practitioners, we have worked in the C-Suite ourselves (as COO and CEO in the private equity, hedge fund and investment management space) and understand what it takes to build – and grow — a successful investment management or private equity business.
  • Our consultants design and deploy innovative, modern solutions with creative ideas to achieve performance excellence.



C&A understands today’s financial services industry challenges and issues affecting the Asset Management marketplace, as described below.

Over the last several years, the investment management, alternatives and private equity industries (including hedge funds, multi-asset classes) have been reshaped by regulators, shifts in the investor profile and a changing business model.

The investment management industry is facing unprecedented growth and complex regulatory, business and technology challenges, prompted by the following trends:

  • New and increased regulation and oversight
  • Liberalization of rules and regulation governing the issuance of private securities
  • Greater transparency, corporate governance and due diligence requirements

Growing Securities Market

The size of the private securities market has grown tremendously over the past five years. Private equity firms, in particular, have benefited, raising hundreds of billions of dollars of committed capital from investors, and are deploying capital in new and different transactions.  Several macroeconomic factors – lower interest rates, loosening lending standards and more regulatory requirements for publicly-traded companies – have helped catalyze growth in the private equity markets.

Favorable regulatory conditions, as well as an improved technology market, support a modernized view of private firms and their investors. Companies now often choose to both remain private much longer and raise needed capital to extract greater returns for investors.

  • For example, the Securities Exchange Commission (SEC), through its 2012 JOBS Act, aimed at promoting economic stimulus and job creation in the U.S. — allows firms to remain private much longer, with a higher ceiling of up to 2,000 investors versus a previous level of 500 holders, before requiring public registration.
  • The regulatory change improves the “liquidity” of these securities, thus calling for greater transparency of transactions. Crowdfunding platforms for the new “open source” market, also prompt a greater need for operational structure and processes, further protecting investors.
  • Higher transaction volume and speed-to-market (e.g. payment transactions, investor ownership changes) require oversight and efficient operating processes.

Investors are being rewarded with higher risk-adjusted returns in the private equity market versus the public markets — fueling rapid growth in the private equity and private securities market.

Increased Regulation resulting in Transparency and Corporate Governance becoming Strategic Priorities

Greater transparency and corporate governance, have now moved into the mainstream for private equity and hedge fund firms. Strong corporate governance and the technology underpinning a transparent business model, are fundamental to investors.

  • In 2010, the Dodd-Frank law passed, requiring greater oversight of these firms’ basic handling of client investment funds, primarily transparency disclosures and operational structure of processes subject to greater oversight, including:
    • Notification and disclosure of investment holdings (securities ownership, transaction detail);
    • Financial audit confirmation services for registered holders of investments, to satisfy reporting requirements;
    • Reporting and recordkeeping systems and processes enabling issuers, auditors, bankers/custodians, regulators, processors and management to access the status of investment holdings in private securities; and,
    • Custodial regulation and transfer agency recordkeeping of investment holdings.

With a liberalization of stockholder limits, more firms will remain private in the current economic environment, flush with new investor funds, before going public later in their lifecycles to enhance value for investors. The need for better governance structures by issuers, given greater shareholder responsibility and capital fund raises, will ensure sound operating practices benefitting investors.

Due Diligence and Operating, Financial Risk Management essential to Business Strategy

Developing a proactive strategy to manage significant financial exposure and operating risk is fundamental to succeed in today’s private markets.

C&A Consulting believes that building a sound business and operating strategy with the right technology infrastructure will enhance your operating efficiency, productivity and growth.

  • The standard implementation of investment due diligence programs requires deep understanding of automated processes and methodology for tracking, record-keeping (creation, retention, distribution) and auditing of investment securities.
  • Strengthening the audit process and improving risk management through greater  process improvement and efficiency are key priorities for today’s business control executives.  Audit confirmation has long been a source of friction for issuers and investors, especially for private securities.

What / How C&A delivers

Key Business Outcomes

C&A’s Asset Management practice and advisory services we deliver for clients:

Goals & Outcomes:

C&A Consulting values our partnership with the investment/asset management, private equity, hedge fund, alternative investments, capital markets, and private placements industry.

Key business outcomes we deliver for our clients:

Operating Effectiveness

  • Review and restructure the operating structure of financial services firms and public sector pension fund organization
  • Perform business and technology assessment of core Investment Operations functions, processes, platforms and staff structure
  • Identify priority gaps and recommendations
  • Design organization’s operating model and infrastructure requirements
  • Restructure, ‘revitalize’ and realign business operations
  • Enhance or build the front-, middle- and back-office structure and operations
  • Redesign business process workflows to improve transparency and reporting
  • Design investment processing systems and operations model for multi-asset investment portfolio
  • Optimize technology to drive cost and productivity efficiencies
  • Rebuild an entire technology platform infrastructure

Risk & Regulatory

  • Enhance regulatory, governance and compliance management within an operating framework
  • Automate processes and systems to strengthen business controls

Management Practices

  • Implement large-scale business and digital transformation
  • Build out a dynamic, formal core investment operations function that can readily support and adapt to dynamic investment strategies
  • Transition key senior management roles
  • Enhance and maintain a robust operations team
    • Advise navigating financial market and technology disruption
    • Reduce cost of operations, while improving governance models