Fund Services

Kroll delivers a unique set of services to support private equity, private credit, hedge funds, collateralized loan obligations, real estate funds, BDCs, interval funds and 1940 Act funds at every stage—from registration to ongoing regulatory compliance, cybersecurity and valuation, to fund winddown. Kroll provides comprehensive support to funds to drive operational resilience and compliance with regulatory obligations.

Our Capabilities

Experts

Insights

Comprehensive Solutions for Fund Managers

Fund Launch and Ongoing Support

Global Regulatory and Compliance Advisory

Global registration and ongoing support
Compliance monitoring and testing
Policy and procedure development
Annual and focused compliance reviews
Mock exams, gap analyses, regulatory exam assistance
Management fee cost allocations and fund fee benchmarking, ensuring fair cost distribution

Resourcing support from full-time secondment to on-demand advisory assistance
Regulatory filings
Code of Ethics support: personal trading, certifications
Marketing review
Electronic communications review

Valuation Advisory

Comprehensive valuation solutions for alternative asset fund managers including governance, valuation advisory and execution support
ASC 820 valuation of illiquid investments (including structured products) in early, growth and late- stage private equity and private credit strategies, across geographies, industries and business stage

Technology tools to streamline valuation workflow and reporting
Valuations for tax, goodwill, liquidation of remaining assets and financial reporting

Transfer Pricing

Preparation of Transfer Pricing documentation
Compliance documentation to meet cross-border regulations
Transfer pricing due diligence on potential acquisitions

Capital structure and interest rate benchmarking for shareholder loans
Arm’s-length pricing for related party/common control transactions

Cybersecurity Risk Management

Portfolio cybersecurity risk monitoring
Cybersecurity risk and capability assessment
Technical testing: penetration testing, threat hunting, and compromise assessment
Cyber due diligence

Incident response: plan development and tabletop simulations
24/7 Managed detection and response
Data security advisory for fund wind-down
IT hardware and software integrity
AI risk management and governance

Anti-Money Laundering

AML/CFT policies and procedures
Client onboarding and ongoing KYC screening

AML/CFT compliance training
KYC alert resolution monitoring
SAR filing assistance

Whistleblowing Solutions

Provide confidential hotline and reporting channels for employees or third parties
Facilitate anonymous, two-way communication between whistleblowers and investigators

Centralized and streamlines reporting process enables investigators to efficiently document, review, and act on cases

Social Media Monitoring and Brand Protection

Continuous detection of social media risks to safeguard assets, including:
- Executive and VIP threat monitoring
- Brand safety from harmful content

Intelligence reporting across surface, deep and dark web to track emerging threats

Operational Due Diligence

Manager operational due diligence
Due diligence on portfolio companies and vendors
Operational risk framework review

Public records, reputational, and bespoke investigations
Ongoing fund monitoring and vendor oversight

End-of-Fund-Life Solutions

Oversee fund wind-downs and liquidations
Optimize costs and consolidate providers
Extend fund timelines via structural solutions
Restructure assets for improved sale readiness

Licensed to advises regulated funds (SEC, CIMA, FSC)
Serve as delegated portfolio manager for AIFMs
Provide fairness opinions on asset transfers

Kroll Private Capital Markets Platform

Kroll’s technology solution for managing data on your private equity and credit investments. Within one comprehensive digital dashboard, review all the investment-related data on your equity and credit portfolios, including company descriptive information, instrument-specific, financial forecast and performance data.

Benefits include:

Efficient data management across financial statements, credit agreements and investment documents
Easily adjustable model parameters and scenario testing across hundreds of loans at once
Standardized, flexible, platform-enabled models with full look-through and auditability
A centralized, instantly accessible database of all current and historical valuations, investment details, positions and fund information

Request a Demo

The Kroll Private Capital Markets Platform transforms the private asset valuation process. The same SaaS technology used by over 300 of Kroll’s highly experienced analysts, our platform provides you with the intuitive workflows and sophisticated capabilities required to stay ahead in this rapidly growing industry. Our platform enables you to easily identify, analyze and model critical valuation drivers, fostering greater confidence in your valuation decisions. The Kroll Private Capital Markets Platform is backed by a team with decades of experience at some of the industry’s leading financial data and technology firms, ensuring users will receive the level of support, service and product management expected of a top-tier fintech partner.

Our Comprehensive Capabilities

Corporate Finance and Restructuring

M&A advisory, restructuring and insolvency, debt advisory, strategic alternatives, transaction diligence and independent financial opinions.

Corporate Finance and Restructuring

Transaction Advisory Services

Kroll’s Transaction Advisory Services platform offers corporate and financial investors with deep accounting and technical expertise, commercial knowledge, industry insight and seamless analytical services throughout the deal continuum.

Transaction Advisory Services

Valuation Advisory Services

Our valuation experts provide valuation services for financial reporting, tax, investment and risk management purposes.

Valuation Advisory Services

Portfolio Valuation

Kroll specializes in assisting clients with the valuation of alternative investments, specifically securities and positions for which there are no "active market" quotations.

Portfolio Valuation

Alternative Asset Advisory

Heightened regulatory concerns and vigilance, together with increased investor scrutiny, have led to increased demand for independent expert advice.

Alternative Asset Advisory

Tax Services

Built upon the foundation of its renowned valuation business, Kroll's Tax Service practice follows a detailed and responsive approach to capturing value for clients.

Tax Services

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

Financial Services Compliance and Regulation

Cyber and Data Resilience

Incident response, digital forensics, breach notification, security strategy, managed security services, discovery solutions, security transformation.

Cyber and Data Resilience

Investigations and Disputes

World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation, disputes and testimony.

Investigations and Disputes

Restructuring

Financial and operational restructuring and enforcement of security, including investigation, preservation and realization of assets for investors, lenders and companies.

Restructuring