Investment Advisors Act (Custody Rule) Examinations

We have provided attestation, consultation and tax related services to investment companies for more than 30 years.

The Investment Advisors Act of 1940, Rule 206(4)-2(a) requires client funds and securities of which an investment adviser has custody be verified by actual examination at least once during each calendar year by an independent public accountant.

Additionally, advisers who also act as a “qualified custodian” are subject to the additional requirement of an internal control examination.

As members of the Private Companies Accounting Oversight Board we perform surprise custody rule examinations and report to the Securities and Exchange Commission.