Building Relationships that Count.

Hedge Funds/Broker-Dealers

 

Today’s private investment fund managers are faced with an ever-increasing body of responsibilities. Of paramount importance is their duty to provide meaningful, accurate, and timely investment information. Our experience and technical resources allow us to effectively assist clients with providing the necessary information to their investors.

When you engage the services of our firm, you gain access to an experienced team of professionals who understand not only the nature of your business, but also the rigorous reporting requirements of the SEC, FINRA, and outside investors. Our team keeps up-to-date on industry standards, regulations, and terminology through training and continuing education classes. In addition, our firm is a member of the Public Company Accounting Oversight Board (PCAOB), which helps us assist you in meeting the requirements of the SEC and FINRA.

Specifically, our team can provide:

  • Hedge fund financial statement audits
  • Hedge fund financial statement preparation (for non-attest clients)
  • Registered investment adviser financial statement audits
  • Broker-dealer audits
  • Surprise custody examinations (SEC Rule 206(4)-2)
  • Due diligence and other agreed-upon procedures to investment advisors and hedge fund managers

We understand the complexities confronting investment companies and our goal is to assist you through these various processes.

For more information, please contact: