RIAs & Broker-Dealers

Registered Investment Advisors and Broker-Dealers are at the unique intersection of commercial businesses and the investment management industry. Fortunately, at BBD, so are we.

Nationally, our firm is a Top 10 provider of audit services for mutual funds. We also are one of the 25 largest CPA firms in the Philadelphia metropolitan area with a long history of service for middle-market businesses. This hybrid of knowledge and expertise related to the investment management industry, investment products, and commercial enterprises is uniquely valuable to our registered investment advisor and broker-dealer clients.

Accounting and auditing services include:

• Audits of annual financial statements
• Custody examinations in accordance with the Investment Advisers Act of 1940
• Internal controls reviews

Tax services include:

• Consultation on tax aspects of security transactions
• Preparation of federal/state income tax returns
• Assistance with or representation for IRS or state tax audits
• Assistance with analyzing tax ramifications of complex securities transactions
• Integrated corporate/partnership and individual tax planning
• Personal estate planning

In addition to our traditional audit and tax services, our experts offer objective insight regarding:

• Organization of start-ups
• Selection of form of organization

We also offer GIPS verification services for investment advisors:

• GIPS Firm-wide verification
  • Review of investment management firm’s processes and procedures for reporting performance results to ensure adherence to GIPS standards
• Performance verification
  • More extensive examination focused on a specific composite track record; performed in conjunction with or after a firm-wide verification

Can we help you?  Contact any of our team members listed to the right.