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When the regulators come knocking, will you have the tools necessary to efficiently meet the specific requests that they require?


When you experience the pressure associated with a regulatory audit, you’ll quickly understand the value in having a partner like AssetBook.  We help you produce the incredibly specific reports and lists they require, with minimal interruption to your business. Partnering with AssetBook will give you peace of mind because you’ll be ready when they come knocking.

Our custom approach to audit support streamlines the process because we’re able to produce these custom requests timely and efficiently, such as:

  • Trade Blotters for all investment types for any date range
  • AUM reports by household, account, or portfolio for any date range
  • Global performance reporting by household, account, portfolio or class for any date range including quarterly, monthly or daily intervals
  • Global management fee billing support including detailed breakdown of fee calculation for your entire client base
  • Security and trading analysis reports including 13F reporting requirements

AssetBook has more than 15 years experience in supporting advisors when the auditors call.


We’ve learned that providing auditors with the exact reports they ask for, no more, no less, drastically speeds up the examination process. Send them happily on their way, satisfied with their findings.