In todays increased regulatory environment, registered investment advisors must comply with laws established by their individual states as well as federal statutes, including the Investment Advisors Act of 1940 and the Investment Company Act of 1940 enacted by the Securities and Exchange Commission. We have provided services to numerous investment advisors ranging in assets under management from start-up to $ 1 billion.

Services we provide are as follows:

• Audits as required by regulations including computation of minimum net capital requirements
• Surprise verification procedures for registered investment advisors who are deemed to have custody or control of client assets in order to comply with certain provisions of the Investment Advisers Act of 1940, specifically Rule 206(4)-2, "Custody or Possession of Funds or Securities of Clients" and Rule 204-2, "Books and Records to be Maintained by Investment Advisers."
• Examinations and reviews of historical performance records in accordance with Global Investment Performance Standards (GIPS) 
• Independent representative review procedures for management fee payments and withdrawals
• Calculation of rates of return and preparation of performance records