Surprise Audit Examinations

Assurance Dimensions

Surprise Audit Examinations

Assurance Dimensions performs the required annual surprise custody examinations for firms that meet the Rule 206(4)-2 (the “Custody Rule”) of the Investment Advisers Act of 1940 (“Advisers Act”). If you are a trustee registered investment advisor (”RIA”) for your client accounts, a general partner of an unaudited fund, have client log in credentials, or provide bill-pay services, our process is designed to make your annual custody examination as efficient and painless as possible.

A RIA is deemed to have custody for various reasons including if they directly or indirectly hold client funds or securities, or have the authority to obtain possession of them. Surprise examination requirements include, but not limited to, the examination of the books and records as they relate to the RIA’s custody as well as confirmation with the qualified custodians and their clients.