In today’s increased regulatory environment, registered investment advisors and fund managers must comply with either federal or state level registration requirements, including the Investment Advisors Act of 1940 enacted by the Securities and Exchange Commission.  Spicer Jeffries has and continues to provide services to both federal and state registered advisors and family offices with assets under management ranging from start-up levels to those with several billion dollars.

One of the largest concerns for registered advisors and family offices is compliance with the Custody Rule.  Our services to the investment advisor community focuses on examinations required by SEC Rule 206(4)-2 under the Investment Advisors Act of 1940 and the corresponding rules by state securities divisions regarding the various aspects of custody.   Those advisors who become subject to the rule must undergo an annual surprise custody examination in order to determine their compliance with the rules. Spicer Jeffries has a dedicated team of professionals that specialize in providing this service.

Additionally, many investment advisors wish to have their performance track record audited in order to market to new potential clients.  Whether you are looking for performance reporting for one or multiple composites or verification of performance of your fund, we can provide the solution to help in providing credibility to your potential investors.

Through our extensive experience and history working with advisors and family offices, it is our desire to become your trusted business advisor and keep your complete business in mind and offer suggestions to help you succeed.