Articles

PortfolioCenter Export Wizard fails to connect to database

PortfolioCenter Export Wizard fails to connect to database

Suppose an SEC Auditor is asking for a transaction export and you see the error "Export Failed!" when attempting to export the ledger from the PortfolioCenter Export Wizard. Opening the log the log will likely reveal something like this: Retrieving portfolios...OK....

read more
SEC Audit: Producing a trade blotter

SEC Audit: Producing a trade blotter

When the SEC Auditor knocks on your door, one item he will request is a spreadsheet containing a trade blotter for the time period under review. The easiest way to retrieve this information is using the Export Wizard.

read more
SEC Audit Survival Guide

SEC Audit Survival Guide

The SEC intends to visit all advisors who have never been audited by the end of 2015. These articles will help you prepare for your review.

read more
How to prepare for an SEC audit

How to prepare for an SEC audit

Much advice on surviving an SEC audit is general (e.g. “keep good records” and “stay organized”). While good advice, here is specific information I’ve seen auditors request.

read more

Get Started