Audit compliance for the investment industry

Kreischer Miller is a PCAOB registered accounting firm that performs financial statement audits for:

• Investment managers
• Financial advisors
• Investment funds
• Broker/dealers
• Trust companies

Many of our clients have required filings under SEC, FINRA, and various state regulatory authorities. Our experienced team can keep you on track to meet all of your audit and related filings.

We believe that audit and accounting services should not just be a compliance exercise, but should result in valuable business advice. Our team brings deep investment industry experience to the audit process. In addition to understanding specialized accounting rules, our team members also conduct GIPS verifications and operational due diligence. As a result, we have seen, first-hand, many of the industry’s best practices relating to trade order entry, operations, compliance, and investment reporting controls. This enables us to provide more meaningful, well-rounded advice to our clients.

Our client service approach is team-oriented, with continuous involvement throughout the year. We regularly interact with our clients on matters affecting their businesses, which minimizes surprises. You will also have direct and immediate access to senior professionals who understand the issues impacting your business.