2020 Year End Planning

Year-end planning is an important part of investment management.  With a full year’s worth of information on hand, we can … Continued


You Audit Know…

The Office of Compliance Inspections and Examinations (OCIE) is the division of the U.S. Securities and Exchange Commission (SEC) responsible … Continued


Over the Top?

In September the S&P 500 clocked a monthly loss of 3.85%.  The tech sector during that same period was down … Continued


Along for the Ride

2020 has provided more thrills and spills than an amusement park’s best adventure rides. Good thing, since most of us … Continued