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Serving Investment Advisors Since 2009

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Mock SEC Examination

Uncover compliance violations and deficiencies and prepare for an actual SEC examination

Annual Compliance Review

Comprehensive review of the adequacy and effectiveness of your compliance policies and procedures

Ongoing Compliance Testing

Detect compliance violations and deficiencies over the course of a specified time period (e.g., one year)

Decades of Industry Experience

NorthPoint understands the compliance requirements of investment advisers and how to develop, implement and maintain an effective program that accomplishes your compliance objectives. 

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About Our Founder

Victoria G. Hogan, CFA

Victoria G. Hogan, CFA, worked for over six years as a compliance examiner in the New York Regional Office of the U.S. Securities and Exchange Commission (SEC). At the SEC, she led cause and routine examinations of a broad range of investment advisers including fixed income and equity advisers, alternative asset managers, hedge fund of funds, dually registered advisers, pension consultants, financial planners, and advisers to investment companies. Victoria then formulated and prescribed corrective and disciplinary recommendations to SEC management, including referring examinations to the SEC’s branches of enforcement and recovering misappropriated assets for clients.

Prior to establishing NorthPoint, Victoria spent two years as a compliance officer in the Legal and Compliance Department of Fortress Investment Group. At Fortress, she was responsible for developing and enforcing compliance policies and procedures, providing compliance advice, performing periodic and annual reviews of the firm’s compliance program, staying current on regulatory and compliance matters, modifying existing policies and procedures in order for the firm to remain compliant with the relevant rules and laws, and ensuring that employees of the firm were appropriately trained in compliance-related matters.

Victoria graduated magna cum laude from The College of New Jersey and is a CFA Charterholder.

Compliance Resources


Books and Records Table

Investment Advisers are required to make and keep true, accurate and current books and records relating to its advisory business.  Use this chart to check that you comply.   If…

Form CRS Guidance

A guide to answer your questions on the Form CRS filing and delivery requirements.   If you are having trouble viewing the document please click here to view or download.

Exception to Reporting Requirements

Under the SEC’s Code of Ethics rule, access persons are required to report their personal holdings and securities transactions on a periodic basis, although an exception is made if such…
Questions for Your Traders
Disciplinary Questionnaire
Trade Blotter Review

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