The quality of the firm’s compliance work has been recently validated by our positive peer review results.
Surprise Custody (Compliance Examinations):
We provide surprise custody exams for broker dealers and registered investment advisors. These exams are normally required annually by the SEC. We also provide this service for any company that needs an opinion on a specific test or business process.
To ensure quality, we use the latest industry leading practice aids to serve our clients. You will have direct access to decision makers including the managing partner.