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Category Archives: OIA (Other Independent Audits)

The Other Independent Audits (OIA) database brings into focus hundreds of thousands of audits of non-public entities. Comprising two separate modules – Financial Services and Government + Non-Profit – this product covers a number of
boutique industries, from broker dealers to benefit plans. These tools can help identify market and engagement opportunities.

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2021 Auditor Market Share of Registered Investment Advisers

Posted on May 8, 2023 by Sarah Keohane

A registered investment adviser (RIA) is an individual or firm who manages and advises investment portfolios. Advisers who have more than $110 million in assets under management (AUM) are generally required to register with the SEC. The Registered Investment Advisers … Continue reading →

Posted in Financial Services (OIA), Registered Investment Advisers

2020 Audit Firm Market Share of ERISA

Posted on April 17, 2023 by Kayla Coello

The Federal Employee Retirement Income Security Act of 1974 (ERISA) requires entities or sponsors that offer post-employment benefit plans to disclose audited financial information to plan beneficiaries. ERISA establishes the minimum standards for employment benefit plans, including pensions, 401(k) accounts, … Continue reading →

Posted in ERISA, Government + Non-Profit (OIA), OIA (Other Independent Audits)

2021 Auditor Market Share of Non-Profits

Posted on April 3, 2023 by Kayla Coello

Non-Profits are required to obtain an audit if the organization receives $750,000 or more in federal funding in a single fiscal year. Accordingly, this includes the audit of the institution’s financial statements and the federal award received. These disclosures can … Continue reading →

Posted in Government + Non-Profit (OIA), OIA (Other Independent Audits)

2021 Auditor Market Share of Broker-Dealers

Posted on March 15, 2023 by Kayla Coello

Broker-Dealers are firms or individuals in the business of buying and selling securities on their clients’ behalf or for themselves. They are required by the SEC to have their financial statements audited annually, disclosed in x-17a-5 filings. The Broker Dealers … Continue reading →

Posted in Broker Dealer, Market Share, OIA (Other Independent Audits)

2021 Auditor Market Share of Insurance Companies

Posted on March 8, 2023 by Sarah Keohane

Since all insurance laws and regulations are established individually by state, the National Association of Insurance Commissioners (NAIC) was organized to coordinate standards and regulations nationwide. Unless a company receives an exemption from filing, the NAIC requires all members to … Continue reading →

Posted in Insurance Industry, Market Share, OIA (Other Independent Audits)

2021 Auditor Market Share of Banking Institutions

Posted on February 22, 2023 by Sarah Keohane

Banking institutions are defined as financial institutions which are legally allowed to accept monetary deposits from consumers. Audit Analytics’ Bank Holding Companies database collects records dating back to 2005 and covers all banking institutions that file forms FR Y-9C, FR … Continue reading →

Posted in Bank Holding Companies, Financial Services (OIA), OIA (Other Independent Audits)

2022 Audit Firm Market Share of Private Funds

Posted on February 15, 2023 by Kayla Coello

In general, private funds fall into two main categories: private equity funds (42%) and hedge funds (24%). However, there are additional smaller types of private funds that include venture capitalist funds (14%), real estate funds (8%), and others (12%). Registered … Continue reading →

Posted in Financial Services (OIA), OIA (Other Independent Audits), Private Funds

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