Audit & Assurance
Independent audit and assurance services designed to meet regulatory requirements, support compliance, and provide confidence in your financial reporting.
Agreed-Upon
Procedures (AUP)
Agreed-upon procedures engagements are designed for situations where specific financial or non-financial information needs to be independently examined, but a full audit or review is not required. In an AUP engagement, the procedures are established by you, the client and the intended users of the report, and our role is to perform those procedures and report the results.
Organizations turn to AUP engagements when lenders, regulators, grantors, or other stakeholders need reliable verification of targeted information. These engagements can provide clarity around compliance with agreements, grant requirements, internal controls, or other defined matters, helping address questions and reduce uncertainty.
How We Help
Our firm brings a thoughtful, hands-on approach to every AUP engagement. We perform the agreed-upon procedures with objectivity and independence, in accordance with professional standards, and communicate our work through a clear report of factual findings only, without providing an opinion or assurance.
Because AUP engagements are focused and flexible, they can be tailored to your specific objective and performed at any point during the year. We work closely with our clients to ensure the engagement is efficient, well-defined, and aligned with the needs of all specified parties.
Employee Benefit
Plan Audit
Protecting employee retirement and benefit plan assets requires specialized audit expertise and a clear understanding of regulatory requirements. Our firm provides audit services for employee benefit plans, including defined contribution plans such as 401(k) plans, defined benefit pension plans, and health and welfare plans.
As a member of the AICPA Employee Benefit Plan Audit Quality Center (EBPAQC), we are committed to high standards of quality and professional oversight in employee benefit plan audits. These audits are often required under the Employee Retirement Income Security Act (ERISA) and are an important part of meeting regulatory obligations and providing transparency to plan participants.
Our Audit Approach
We perform both limited-scope and full-scope employee benefit plan audits, depending on plan structure and regulatory requirements. Our audits focus on the plan’s financial reporting and compliance with applicable laws and regulations, with an emphasis on accuracy, consistency, and completeness.
As a small NYC-based CPA firm, we take a hands-on, coordinated approach, working closely with plan sponsors, administrators, and service providers to conduct an efficient audit and communicate results clearly. Our goal is to help plan sponsors meet their responsibilities with confidence, while supporting the integrity of the plan’s financial reporting.
Independent Financial
Statement Audit
We provide independent financial statement audit services to organizations across a variety of industries, combining technical rigor with a collaborative, client-focused approach. Our audits are designed to meet reporting and regulatory expectations while providing management and stakeholders with confidence in the integrity of the financial statements.
Our audit work reflects current accounting, auditing, and reporting requirements, and we stay closely attuned to regulatory developments that may affect our clients’ financial statements and audit obligations. Through ongoing professional education and the use of authoritative guidance, we ensure our work remains aligned with evolving standards and best practices.
Our Audit Approach
We take a highly engaged, hands-on approach to every audit. We work closely with management throughout the engagement to understand your operations, risks, and reporting objectives, allowing us to tailor our audit procedures and maintain an efficient, well-coordinated process.
We also leverage appropriate audit technology and data analytics to enhance efficiency and focus on areas that matter most. Our goal is to deliver reliable assurance, clear communication, and practical insight, while providing the accessibility and responsiveness that come with working directly with an experienced audit team.
Reviews & Compilations
We provide review and compilation services for organizations that need financial statements prepared or presented for reporting purposes, but do not require a full audit. Each service offers a different level of assurance and is selected based on the needs of management and the expectations of financial statement users.
-
A review engagement provides limited assurance on financial statements. Reviews are often requested by lenders, investors, or boards of directors when independent comfort is needed, but a full audit is not required. The resulting report helps users gain confidence in the overall reasonableness of the financial information.
-
A compilation engagement does not provide assurance. In a compilation, we assist in presenting financial information in the form of financial statements for internal use or basic reporting needs. Compilations are appropriate when financial statements are required, but assurance is not necessary.
-
We work closely with our clients to determine the appropriate level of service and ensure expectations are clear from the outset. We tailor each engagement to your reporting objectives and provide timely, well-organized financial statements and reports that support informed decision-making.
