Investment Performance Services for Financial Firms

Investment Performance Advisory Solutions encompass services that assist financial firms in accurately calculating, analyzing, and reporting investment performance and analytics. These solutions are crucial for ensuring transparency, maintaining client trust, and complying with industry standards and regulations.

Key regulations include the SEC’s marketing rule and FINRA advertising rules. The Global Investment Performance Standards (GIPS^®) is the industry standard for the calculation and presentation of          performance. Other jurisdictions-specific regulations ensure fair and ethical performance reporting.

The GIPS standards are an industry-recognized standard for the calculation and presentation of investment performance that promote transparency and comparability. This voluntary compliance demonstrates a firm’s commitment to best practices, enhancing credibility with investors.

The process includes defining firm-wide policies, ensuring accurate portfolio data, calculating investment performance, and creating compliant performance presentations. Firms can also choose to undergo independent verification to provide assurance on whether the firm’s policies and procedures, calculation, presentation, and distribution of performance, have been designed in compliance with the GIPS standards and have been implemented on a firm-wide basis.

Independent verification enhances credibility, provides assurance on whether the firm’s policies and procedures, calculation, presentation, and distribution of performance, have been designed in compliance with the GIPS standards and have been implemented on a firm-wide basis, and provides assurance to investors that the firm follows best practices in performance reporting.

Firms should follow standardized methodologies, maintain accurate and complete data, and use technology to automate calculations while adhering to industry standards.

Errors often include misrepresenting past performance, inconsistent calculation methodologies, incomplete disclosures, failure to update performance data regularly, and the inappropriate inclusion or exclusion of portfolios from composites.

Compliance ensures that marketing materials and investor reports accurately reflect performance data, meet regulatory requirements, and avoid misleading claims.

It mitigates legal and reputational risks by preventing misleading reporting, ensuring adherence to fiduciary responsibilities, and reducing the likelihood of regulatory fines or enforcement actions.

The SEC enforces advertising and marketing rules for investment performance, requiring firms to provide fair, balanced, and non-misleading performance disclosures.

We offer a comprehensive suite of investment and managed performance services, including GIPS^® standards compliance support, outsourced managed investment performance services, private fund fundraising and reporting support, as well as key performance task outsourcing.

We are uniquely positioned at the intersection of investment performance and regulatory compliance—bringing both under one roof. Our team combines deep expertise in investment performance and data analytics with a thorough understanding of regulatory requirements, ensuring comprehensive and compliant solutions. With a dedicated staff of over 80 professionals—the largest team of its kind in the industry—we offer an unmatched depth of knowledge and specialization. We proudly serve more than 1,100 clients, providing not only expert guidance but also peer insights that few others can match.

We provide end-to-end support for GIPS compliance, including policy development, performance calculations, verification services, and best practice guidance to meet industry standards.

We conduct an independent review of a firm’s policies and procedures, performance data, and disclosures to confirm compliance with GIPS standards enhancing credibility and investor confidence.

Yes, we work with firms at all stages of compliance, from initial implementation to ongoing adherence, ensuring a smooth transition and continued compliance.

We provide consulting on performance calculation methodologies, benchmarking, and risk analytics to ensure firms meet regulatory and industry best practices.

Yes, we assist with reviewing and enhancing performance reports, disclosures, presentations, and peer insight to ensure compliance with regulatory requirements and industry standards, as well as maintaining a competitive edge in this landscape.

We review marketing materials and investor communications to ensure performance data is presented fairly, accurately, and in compliance with SEC, FINRA, and GIPS standards guidelines.

Yes, we provide guidance on compliance with SEC and FINRA advertising rules, ensuring firms present performance data transparently and avoid misleading claims.

We assist firms in preparing for regulatory exams by conducting mock audits, reviewing policies, and ensuring documentation aligns with regulatory expectations.

We provide technology-driven solutions that streamline performance reporting, automate calculations, and ensure accuracy in investment performance compliance.

Yes, we work with firms to integrate compliance processes with their existing performance measurement and reporting systems.

GIPS compliance involves adhering to standardized guidelines for calculating and presenting investment performance, ensuring consistency and comparability across firms. We assist by guiding firms through the compliance process, conducting verifications, and providing ongoing support to maintain adherence to GIPS standards.

We have introduced Managed Performance Services, combining proprietary technology with a team of over 80 investment performance professionals. This offering helps firms globally to outsource performance measurement and reporting functions, addressing the operations talent shortage effectively.

We stay abreast of industry developments and regulatory changes, integrating this knowledge into our advisory services. We work closely with your firm to ensure that performance reporting meets current best practices and regulatory standards, enhancing credibility and client trust. Additionally, we are a part of industry organizations that create standards like GIPS, ILPA, and AIMA.