our firm

CORE is a focused specialty compliance practice located in Dallas, Texas founded by two principals with more than 50 years combined regulatory, compliance and investment experience. CORE offers outsourced compliance resources and expertise, designed to be an integral part of our clients' daily operations, resulting in a stronger, more focused and competitive investment firm.


CORE was launched in 2011 after Dodd Frank was passed, recognizing a need for comprehensive compliance resources for private fund managers, many of which had been in business for years but were newly subject to regulation and did not have in-house compliance resources. We focus exclusively on private fund managers and understand better than most the compliance, regulatory and business challenges private funds face. We believe that our depth of experience and focus on the private fund space enables us to provide the best customized compliance solution for private funds.


Three of our team members previously worked for the Securities & Exchange Commission. This places CORE in a unique position among compliance service providers and enables us to tap into that significant experience to assist our clients where the rubber meets the road during SEC examinations and when interacting with the SEC or other regulators. A central goal and benefit of our firm is working closely together with our clients to help ensure they establish and maintain an effective relationship with regulators.


At CORE, we understand and appreciate that client relationships are paramount. We work hard to provide a consistent team who knows our clients’ businesses intimately and on whom clients can quickly call whenever needed. We want our clients to confidently rely on their CORE partners as an integral part of their compliance team. We work exclusively with a select group of quality investment management firms and selectively add clients whose business and culture are a good fit with CORE’s, in order to help ensure a mutually beneficial long-term relationship. Similarly, we selectively add staff who enhance our team, our collective skills and expertise, and allow us to better serve our clients.


In the highly competitive and quickly evolving investment environment private funds face, traditional compliance efforts may leave private fund managers at a competitive disadvantage. However our clients can minimize their regulatory risk at a reasonable cost by leveraging our CORE resources and expertise.


Our CORE mission is to help our clients succeed in a competitive marketplace by providing customized compliance solutions that fit each client's evolving needs. We are determined to serve our clients with the highest level of professionalism and with a high-touch approach to client relations. We value long-term relationships and design our compliance solutions to grow and evolve as our clients do the same.


The CORE value proposition is to provide a state-of-the-art compliance solution with a higher level of expertise, quicker, more efficiently and better able to withstand regulatory scrutiny, than you can build, at a cost well below what it would take to develop a comparable in-house-only compliance effort. This allows our clients to focus on their core competencies while minimizing regulatory risk by leveraging our CORE competencies.


The arch is an architectural structure that spans a space while supporting weight. Its use revolutionized the way structures were built by allowing for a more efficient use of materials with increased strength and integrity of the structure itself. By utilizing an innovative series of small, strong, specialized blocks called voussoirs and the critical center block called the keystone, an arch can span greater distances, support greater weight, and is stronger than the traditional post and lintel structure which is bulkier, weaker and less efficient.


We believe that by outsourcing critical compliance responsibilities to CORE, our clients can achieve greater efficiencies with less resources when compared to traditional compliance structures. By utilizing CORE’s innovative approach and specialized competencies, our clients can focus on their core competencies and as a result can build a stronger and more efficient firm.