Exam Support for Investment AdvisorsAudit Services

Investment management clients at RND receive an invaluable service from our CPA’s and veteran compliance professionals who understand your industry and are on top of current regulatory requirements as well as emerging trends. Our extensive audit capabilities include standard SEC investment advisory audits such as surprise custody exams, annual compliance reviews, books & records examinations, and mock examinations. Our service helps investment firms adjust to evolving standards, rule changes, and new product offerings. We also provide comprehensive audit services for funds, private equity, commodity pools, and other investment vehicles, ask us for details.

As a full-service firm, RND Resources is capable of handling even the most complex regulatory business models and challenges. Our services integrate business planning, compliance, operations, trading, and registration into one coordinated program. 

Benefit from:

  • Full Service RIA, Fund, and Brokerage Support
  • Integrated Business Planning, Compliance, Operations, Trading, and Registration
  • Expert Regulatory Consulting Professionals
  • Compliance Programs Customized to fit your firm and goals

For a confidential discussion of your audit concerns or compliance needs, call our office at (818) 657-0288 or send us a message below.

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