Commodity Trading Advisors

We understand the demands placed on today’s CTA as we have evolved in parallel with the CTA community. Today’s CTA is busier than ever. Whether you are raising capital, managing the investor due diligence process, navigating the complex regulatory environment, institutionalizing your operational infrastructure, or keeping up with performance expectations, there is no question that CTAs’ responsibilities have significantly evolved over the years.

Our focus on the alternative investment industry allows us to provide you with the reliable service that you expect. We advise CTAs in the areas of performance reporting, investor support, tax compliance, outsourced accounting, and operations readiness. We have acquired the foresight to help you prepare for smart and responsible growth. Our firm keeps you compliant and organized while providing the highest level of assurance to your investors so you can continue to focus on trading.

Performance Reporting

We prepare performance records in accordance with the NFA and CFTC rules and regulations:

  • Analyze performance from broker statements and client schedules
  • Monitor statements for cash activity and non-recurring transactions
  • Consult with clients on statements and make adjustments as necessary
  • Calculate advisory fees
  • Prepare individual and composite performance tables and capsule performance records

Investor Support

We help you address and meet investor demands:

  • Conduct performance record examinations to support investor due diligence requirements
  • Provide monthly reporting in an investor-friendly format that supports your marketing efforts
  • Prepare advisory fee invoices to be sent to investors
  • Advise on how to use performance records for marketing
  • Consult on how to report your managed accounts to investors
  • Respond to due diligence inquiries from investors
  • Review offering documents of new funds and make recommendations from a tax and audit perspective to benefit you and your investors

Tax Compliance

We leverage our team of tax professionals that understand the tax planning and filing needs of CTAs and CPOs to provide tax solutions that minimize the chance of error, provide flexibility, and deliver tax reporting documents in a variety of formats to meet IRS requirements and investor expectations.

  • Consult on tax fee structures for proper tax planning and compliance
  • File U.S. and state tax returns, including composite filings for funds and other investment vehicles
  • Maintain tax allocation schedules by investor
  • Prepare and distribute 1099s, Schedules K-1, Passive Foreign Investment Company (PFIC) statements, and related shareholder allocations
  • Advise on and prepare your foreign tax filings
  • Comply with FATCA requirements
  • Update clients on upcoming and pending tax regulations
  • Provide tax services for your management company, principals, and investors

Audit & Assurance

Prior to conducting any of the following services, we evaluate our overall client relationship to look for conflicts or concerns regarding independence.

  • Audits, reviews, and compilations of financial statements
  • Examinations of internal controls under SAS 70 and SSAE 16
  • Examinations of historical performance records
  • Internal audits
  • Reviews of Forms 10-Q filed quarterly by SEC registrants and other SEC filings
  • Surprise custody verifications
  • Assistance with respect to: audit preparation and consultation, along with NFA audit and compliance matters