Other Independent Audits (OIA) Other Independent Audits (OIA) Data
  • Almost 1,000,000 non-public entities
  • Auditor tracking on broker dealers, investment advisers, benefit plans
    and more
  • Data aggregated from a variety of
    sources, including the SEC, IRS, NAIC

The Other Independent Audits (OIA) database brings into focus hundreds of thousands of audits of non-public entities. Comprising two separate modules - Financial Services and Gov + Non-Profit - this product covers a number of boutique industries, from broker dealers to benefit plans. These tools can help identify market opportunities in thousands of engagements.

Other Independent Audit Modules: PDF DocumentDownload datasheet

Financial Services
The bank holding company database is comprised of all Federal Reserve supervised banking institutions (currently over 5,000 active institutions). Key data points include auditor, assets and revenue.
Broker Dealers
Search our database of broker-dealers audited annual reports submitted to the SEC (currently over 4,200 active brokers-dealers). Key data points include auditor of the financial statements, assets and contacts.
Insurance The Insurance database is comprised of all NAIC filing insurance companies (currently over 4,300 active insurers). Key data points include auditor of the financial statements, assets and revenue.
Investment Advisers The Investment Adviser (RIA) module provides a detailed description of all state and SEC registered advisers (currently over 30,000). Key data points include engaged auditor (for those advisers with custodial responsibilities), assets under management and the funds they manage.
Private Funds The private fund (hedge funds, private equity, real estate and venture capital funds) database is comprised of all funds (currently over 47,500) disclosed in form ADV. Key data points include auditor of the fund, administrator, prime broker and gross value.
Gov + Non-Profit
ERISA The ERISA module is comprised of all IRS Form 5500 filing benefit plans (currently over 750,000). Key data points include auditor (for those plans with over 100 participants), assets and administrator.
Single Audit The Single Audit module is composed of over 60,000 non-profits (NP) and municipalities receiving over $500,000 annually in federal funding. Key data points include auditor, contacts, funding agency, assets and total federal expenditures.

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