Rich Godfrey

About Rich Godfrey

Compliance. Research. Consulting. Here are some of the services that I provide for…

Experience

1. Principal

   Cogent Crc

   Jul 2018 — Present · Chapel Hill, NC, US

   COMPLIANCE - Draft and tailor Forms ADV (Parts 1, 2A, 2B, and 3/CRS) and build Compliance Manuals that reflect your actual business—not boilerplate- Navigate CRD disclosures and manage Forms U4/U5 filings with accuracy and context- Guide you through IA formation and registration, especially in North Carolina- Lead quarterly compliance reviews to assess performance, disclosures, and regulatory changes- Deliver customized training for your team, using real-world case studies to build practical understanding- Support you during regulatory exams with document production strategies and coaching on examiner expectations- Advise on enforcement matters and disclosure issues affecting your firm or staf RESEARCH - Conduct deep due diligence and risk analysis for acquisitions or sales of books of business- Apply investigative expertise (licensed PI) to uncover hidden risks and validate business partners- Investigate claims of securities fraud for attorneys or members of the investing publics CONSULTING - Serve as a long-term compliance advisor to your firm—whether state-registered, SEC-registered, or a FINRA member- Collaborate with your legal counsel on securities compliance, enforcement responses, and strategic disclosures

Education

• The University of Manchester

  BA (hons), Hispanic Studies

  1989 — 1993

Skills

• Asset Management
• Cash Management
• Financial Services
• Credit
• Equities
• Corporate Actions
• Contract Negotiation
• Hedge Funds
• Capital Markets
• Emerging Markets
• Alternative Investments