The Audit Analytics RIA database simplifies and organizes the information from Form ADV into easy to use search modules, profile pages, and excel downloads.
- Know who audits registered investment advisers (RIAs) and private funds
- Analyze top-ranking auditors by assets under management (AUM) or number of clients
- Identify the private funds, investment companies, and business development companies advised by the RIA
- Know which RIAs were audited by surprise exam
- Profiling metrics include assets under management (AUM), number of clients, number of accounts, and number of employees
- Relationships include direct owners, indirect owners and control persons, private funds under management, and financial affiliations
- Regulatory Requirements include the surprise exam or pooled audit requirement
Registered investment advisers who have more than $110M in AUM are generally required to register with the SEC and file Form ADV. Form ADV contains information about an adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events.
|Coverage||All Advisers Filing Form ADV|
|Availability||Online • Data Feed • Excel • WRDS|