Surprise Audit Examinations

With the right accounting team, your surprise audit examination can be efficient and cost-effective.

SEC Rule 206(4)-2 under the Investment Advisers Act of 1940 requires investment advisors with custody of client funds or securities to undergo an annual surprise audit examination by an independent public accounting firm registered with the Public Company Accounting Oversight Board (PCAOB).

As a PCAOB registered firm, Assurance Dimensions has performed custody examinations for SEC-registered investment advisor clients ranging from one account to thousands of accounts under custody.  

Our fixed-fee pricing and cloud-based software have led to an intuitive, economical approach for completing surprise examinations quickly, remotely and with minimal intrusion on your operations.

Feel assured in your audit with our team of professionals who have more than 50 years of combined auditing experience.

As experts in the securities industry, we have a deep understanding of the profession and are well versed in the rapidly evolving regulatory environment. 

As a PCAOB-registered firm subject to regular inspection, our team performs dozens of surprise custody examinations annually. We provide consistent, effective, efficient audits to clients nationwide and internationally. 

Industries We Have Served:

• Professional Services  
• Resellers of Credit Reporting Agencies  
• Outsourced Security Operations Centers  
• Business Associates of Covered Entities
• Hedge, Private Equity & Venture Capital Funds  
• Family Offices  
• IT Managed Services/Colocation  
• Outsourced Transaction Processors