Accountant

AUDITING SERVICES

We offer the following audit services for state and SEC-registered investment advisory firms:

 

We can assess the current state of your Firm's existing compliance program against federal and state regulations as well as industry best practices by offering either a simulated on-site Mock Audit or remote Compliance GAP analysis.

 

We review a sample of the following compliance areas to identify any gaps or deficiencies in your Firm's compliance program:

  • Disclosure Brochure Review

  • Correspondence Reviews

  • Trade Surveillance/Error Reviews

  • Check and Transaction Reviews

  • Quarterly Management Fee Calculation Reviews

  • Registration Review

  • Outside Business Activity Reviews

  • Customer Complaint Reviews

  • Cash Report Reviews

  • Quarterly and Annual Personal Transaction Reviews

  • Semi-annual client and suitability reviews

  • Soft Dollar Reviews

  • Contract Reviews

  • Policies and Procedures Reviews

  • Advertising Reviews

  • Gift Log Reviews

  • Political Contribution Reviews

  • Custody Reviews

  • ADV and Privacy Delivery Reviews

The pricing for our mock audit and compliance GAP analysis services ranges from $3,500 - $15,000 dependent the complexity of your Firm's business model.

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