Fractional COO · Fractional CCO · Executive Advisory

Build the business behind the investment process.

Institutional-grade operations and compliance leadership for investment managers, without a full-time C-suite. Senior executives, embedded in your firm, from launch through scale.

Start a conversation Executive profile (PDF)

Who we serve

Registered Investment Advisers
Hedge & Private Funds
Mutual Funds
Family Offices
Wealth Managers
Emerging Managers

Why Herb Executive Advisory

Senior executives who own the outcome. Not a rotating bench.

Large compliance platforms staff your account from a pool. Advisor networks bill by the hour. Growing managers need something else: senior operators who know the firm, own the outcome and are in the room when decisions are made. That is how every Herb Executive Advisory engagement is staffed.

Operations and compliance under one roof

Your COO and CCO functions work from the same playbook, so controls, vendors, reporting and regulatory obligations stay aligned instead of falling between two providers.

Built for your firm, not from a template

Policies, calendars and controls are tailored to your strategy, structure and service providers, which is what examiners and allocators look for.

Senior from day one

Every engagement is led by an executive who has run the business side of an asset manager, which means less ramp-up, sharper judgment and credibility with investors, auditors and regulators.

Services

Executive leadership for the business side of investing

Engage one role or both. Most clients start where the pressure is highest and expand as the firm grows.

Fractional

Chief Operating Officer

Build and run the operating platform so the investment team can focus on the portfolio.

Strategic planning & executive decision support
Organizational design, roles & hiring
Operating workflows, controls & documentation
Technology, OMS & CRM implementation
Vendor selection, negotiation & oversight
Fund administration oversight
Budgeting, forecasting & cash management
Fee calculations & partner capital accounts
Audit & tax coordination
Board, investor & KPI reporting
Capital formation & ODD support

Fractional

Chief Compliance Officer

Serve as your designated CCO and run a compliance program that stands up to examination.

SEC regulatory compliance oversight
Compliance program design & implementation
Policies, procedures & compliance calendars
Monitoring, testing & recordkeeping
Annual compliance reviews
Marketing Rule review
Service-provider due diligence
Cybersecurity & AI governance
Operational & enterprise risk
AML oversight, including offshore feeders
Coordination with counsel, auditors & administrators

Project work

Launch & strategic projects

Defined-scope engagements for moments that shape the firm.

RIA FormationSEC RegistrationFund Launch BuildoutBuild vs. Outsource StrategyOMS & Technology ImplementationOperational Due Diligence ReadinessM&A IntegrationVendor RFPsBoard Governance

How an engagement works

Embedded leadership, structured simply

A clear path from first conversation to a firm that runs, reports and scales on its own infrastructure.

Assess

Review your structure, service providers, policies and gaps against where the firm needs to be.

Build

Stand up the operating model, compliance program, controls and vendor framework.

III

Run

Serve as your COO and/or CCO day to day: oversight, reporting, filings, investors and exams.

Scale

Prepare for diligence, new products and growth, and plan the hand-off to full-time hires when the time comes.

Executive retainer

One monthly fee for ongoing leadership and availability, not hourly billing.

Embedded, part-time

Typically 8–10 hours a week, serving as your COO and/or CCO.

Flexible term

Month-to-month on 30 days’ notice, with scope revisited as you grow.

Long-term alignment

Optional growth-linked incentives, so our success tracks yours.

Executive leadership, on demand

Strategy · Operations · Compliance · Growth

The firm

Operators who have built the business side of asset managers

Herb Executive Advisory gives growing investment firms the executive leadership they need before they are ready to hire it full-time. We partner with founders, CEOs, CIOs and managing partners as embedded COOs and CCOs, building the operating platform, the compliance program and the controls that let a firm launch, pass due diligence and scale with confidence.

Our engagements cover the full operating stack: oversight of prime brokers, fund administrators, auditors and offshore counsel; investor onboarding and reporting; regulatory filings and examinations; and AML oversight for offshore feeder structures. Each client has a senior executive accountable for the work, with the firm behind them for continuity and coverage.

“The investment process is the product. Our job is to make sure the business around it is institutional from day one.”

29+years of founder-level experience in institutional asset management

COO · CCOheld together, so nothing falls between functions

Launch → Scalefrom RIA formation to institutional diligence

Leadership

Led by experienced investment management executives

Christopher Herb

Founder & Chief Executive Officer

Christopher has spent more than 29 years leading operations, compliance, finance, technology, HR and administration at institutional asset managers across separately managed accounts, mutual funds, hedge funds and private funds. He serves clients as fractional COO and CCO and leads the firm’s launch and strategic project work.

Executive profile

A one-page summary of services, experience and engagement terms, ready to share with your partners.

Download PDF

Contact

Let’s talk about where your firm is headed.

Whether you are launching, preparing for an exam or allocator diligence, or simply outgrowing the founder-does-everything model, a short conversation is the best place to start.

chris@herbexecutiveadvisory.com 516-455-8463

Ponte Vedra Beach, Florida · Serving clients nationwide