Custody Rule Compliance for SEC Registered Investment Advisors

We understand the complex reporting requirements Registered Investment Advisors (RIAs) face. The Keiter team has provided custody examinations for SEC-registered investment advisor clients ranging from one account to thousands of accounts under custody. We will share our knowledge and experience to help you navigate new and changing compliance requirements.

As a PCAOB-registered firm subject to regular inspection, our Financial Services Industry team provides custody examination services for SEC-registered investment advisor clients in compliance with the Custody Rule as well as reporting on internal controls for those advisors deemed as “qualified” custodians (SOC-1 report).

Our firm has the ability to perform surprise custody examinations in Virginia and across the U.S. through our cloud-based software and technology. 

  • Ability to sign checks or withdraw funds
  • Ability to transfer funds to a third party via a Standing Letter of Authorization (SLOA)
  • Possession of bank account or credit card information
  • Possession of client online account passwords
  • Possession of stock certificates

Subscribe for Industry Specific Monthly Newsletters

Featured Insights

What is Causing the Decline in the Number of Registered Broker-Dealers?

Sample Template to Help Broker-Dealers Meet Regulatory Requirements

Broker-Dealer Filing Requirements Guide

View All Financial Services Acounting and Tax Insights

Your Opportunity Advisor

Andrew Sledd


Chris Wallace


Contact Us