Audit, Tax, and Advisory Services for Insurance, Capital Markets, and Asset Management
Navigate compliance requirements and grow the value of your organization with confidence.
Aprio provides comprehensive tax, audit,* and advisory services tailored to the insurance, capital markets, and asset management industries. With the expertise of a global provider and personalized client service, Aprio Insurance services help organizations thrive while maintaining competitive fees.
Victoria Pellegrino
Financial Services Segment Leader | Assurance Partner
Aprio, LLP
Aprio Advisory Group, LLC
Nationally-recognized financial services CPAs
As a PCAOB-registered and inspected firm, Aprio’s financial services team has been serving alternative investment funds and SEC and CFTC-regulated entities of all sizes for more than 40 years. Aprio provides sound advice and fast access to comprehensive assurance*, tax and advisory services.
Who We Help
CFOs, managing partners, emerging fund managers and family offices partner with Aprio for strategic guidance and regulatory compliance knowledge to manage risk and make informed business decisions.
Alternative Investment Funds
- Hedge Funds
- Private Equity Funds
- Venture Capital Funds
- Funds of Funds
- Master-Feeder Funds
- Offshore Funds
- Real Estate Funds
SEC and CFTC-Regulated Entities
- Broker-Dealers (clearing, non-clearing and carrying )
- Commodity Pool Operators and Advisors
- Registered Investment Advisors (RIA)
Insurance Carriers & Companies
- Commercial Insurance Carriers (Statutory & GAAP Reporting)
- Captive Insurance Companies (Single Parent, Cell Structures & Risk Pools)
- Departments of Insurance
- Insurance Pools & Guarantee Associations
- Insurance Brokers & Regulators
SERVING ALTERNATIVE
INVESTMENT FUNDS WITH UP TO
$500 million
AUM
SERVING RIAs WITH UP TO
$5 billion
AUM
SERVING INSURANCE CARRIERS WITH UP TO
$100 million
IN WRITTEN PREMIUMS
SERVING BROKER-DEALERS
WITH UP TO
$100 million
IN REVENUES
Outcomes that add value to your organization
through every stage
Structure your early-stage fund for growth & tax-efficiency
For startup funds, Aprio provides tax compliance for your organization and related entities, including general partners and investment managers within fund structures.
Keep investors happy with timely K-1 tax reporting
Aprio has the experience and resources to help your alternative investment funds meet contractual obligations to provide financial statements and K-1 tax reporting requirements on time or ahead of schedule. For RIA fund sponsors, Aprio helps you fulfill SEC custody rules and provide statements to investors within 120 days of the fund’s year-end.
Meet tight financial reporting deadlines
Aprio helps broker dealers with timely audits in accordance with SEC Rule 17a-5 and provides compliance attestation* for SEC financial responsibility rules.
Comply with regulatory requirements faster
Our longstanding relationships with regulators in Departments of Insurance across 20+ states results in faster assistance with your formation and compliance needs.
Simplify AML and financial crimes compliance
Our forensic services team provides banks, financial institutions and money service businesses the detailed actionable reporting FinCEN needs to confirm compliance and pursue criminal activity. From complex Suspicious Activity Report lookbacks to annual assessments, Aprio provides a better AML compliance experience
Specialty financial services from a PCAOB-registered
business advisory firm
- GAAP financial statement audits
- Surprise custody exams for RIAs
- Investment performance attestation reviews
- Emerging manager operating structure advisory
- SOC 1 reporting
- AML services
- Transaction advisory and valuation
- Timely K-1 tax reporting for fund investors
- Tax estimates for investors
- Tax preparation and review for GP entities
- Blockchain and digital asset accounting
Insurance services from experienced industry specialists
- Property & Casualty and Life & Health GAAP, Statutory financial statement audits and reviews
- State examination assistance
- Captive insurance audits for single parent 831(a) and 831(b), cell structure, and pools
- Property & Casualty and Life & Health guaranty association audits
- Form 1120 and 1120 PC tax preparation, estimates and provision
Aprio’s Financial Services Leadership
Victoria Pellegrino
Financial Services Segment Leader | Assurance Partner
Aprio, LLP
Aprio Advisory Group, LLC
Michael Levy, CPA
Private Equity Service Leader and Transaction Advisory Services | Advisory Services Partner,
Aprio Advisory Group, LLC
Matt Wise
National Assurance Leader | Assurance Partner
Aprio, LLP
Aprio Advisory Group, LLC
Haley Beatty
Director, Forensic Accounting
Aprio Advisory Group, LLC