Registered Investment Advisers

Registered-Investment-AdvisorRegistered Investment Advisers are facing increased regulatory scrutiny. RIAs must comply with national statutes enacted by the Securities and Exchange Commission, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as laws that may be imposed by individual states. Our experience in handling the issues faced by RIAs makes us well equipped to handle your complex needs and reporting requirements.

In addition to audit and tax services, we provide our clients with guidance in the regulatory and reporting aspects of the industry. For our current clients, we also handle the following:

  • Surprise custody exams
  • SOC 1 exams (formerly the AICPA Statement on Auditing Standards SAS 70)- also referred to as Statement on Standards for Attestation Engagement (SSAE)
  • Internal control reports