Surprise Audit Examinations

Assurance Dimensions

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.

What Makes Us Different

We are a trusted auditor to hundreds of clients. 

Our expertise, approachable communications and competitive pricing mean you can count on us throughout your engagement as a long-term resource. 

Assurance Dimensions is registered with the Public Companies Accounting Oversight Board (PCAOB).

Unparalleled Service For Companies

  • Fixed Fee Pricing – No hidden costs or fees. Be confident in the value of our services. Contact us at any time with confidence. 
  • Personalized Communication – We aim to deliver audit services that best meet the unique needs of every client with timely services.
  • Experienced Professionals – Our team of auditors has the expertise to provide you with efficient, effective accounting services.

Our Experience

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

How We Can Help

We understand the complex reporting requirements Registered Investment Advisors (RIAs) encounter.

You need reliable financial information to comply with regulations and make informed, proactive decisions for your business. 

As a PCAOB-registered firm, Assurance Dimensions guarantees consistent, high-quality and cost-effective surprise audit examinations that satisfy regulatory requirements. 

We offer regular communication with clients to try to ensure that your audit stays on course and produces a positive outcome.

Comprehensive Business Advisory Services

In addition to surprise audits and assurance, we offer comprehensive business advisory services.

Get Started Today

Send us a message or request an appointment through the contact form below.

(813) 443-5048

Tampa Bay

4920 W Cypress Street, Suite 102
Tampa, FL 33607


4720 Salisbury Road, Suite 223
Jacksonville, FL 32256

South Florida

2000 Banks Road, Suite 218
Margate, FL 33063


1800 Pembrook Drive, Suite 300
Orlando, FL 32810