Since the financial industry’s nascence in the late 1930s, Tait Weller has developed the specialized skill sets necessary to evolve alongside it.

Through the industry’s growth spurt in the 1960s, its rapid expansion during the 1980s with the introduction of international, tax-free and high-yield funds, and the more recent global turbulence. Today our roster of national financial services clients attests to our reputation for excellence, knowledge and personalized service.

  • Our audit and assurance department serves regulated investment companies (RICs) and a host of related and associated companies, such as alternative investment funds, underwriters, investment managers, transfer agents, related financial institutions, and independent broker/dealers in this highly regulated industry.
  • Our audit department performs examinations in accordance with Global Investment Performance Standards (GIPS).
  • Our tax department provides complete tax services for regulated investment companies and affiliated companies.
  • Our consulting practice offers management as well as technology advising, from assessment and optimization of your accounting and reporting systems, to full implementation of technology solutions.
  • Our SEC practice also offers public companies, whose securities are publicly traded and are subject to SEC jurisdiction, assistance in navigating the complex rules and regulations.

Each of our offices has engagement partners who are mutual fund experts and have many years of experience and intimate working knowledge of:

  • Investment Advisers Act
  • Investment Company Act of 1940 (“the ’40 Act”) with respect to accounting and auditing matters
  • Securities Exchange Acts of 1933 and 1934
  • SEC and FINRA regulations affecting broker/dealers
  • Internal Revenue Code (“IRC”) sections affecting investment companies
  • Sarbanes-Oxley/404, ASC 820 and SSAE 16.

Tait Weller’s deep experience and unqualified service profile provides for ongoing operational consultation throughout the year.

What’s more, Tait Weller enjoys excellent rapport with the many law firms and service organizations (custody, accounting and transfer agents) serving the investment industry, allowing us to solicit anonymous and objective input to expedite solutions to unique situations.

Industry Leadership

The firm and its members are actively involved in the mutual fund industry through professional and trade associations. We have been members of the AICPA’s Investment Companies Special Committee and the Accounting/Treasurer Advisory Committee of the Investment Company Institute (“ICI”).

The objective of the AICPA Committee is to keep abreast of new issues that affect the industry and to develop timely responses. The ICI Committee has similar objectives with respect to new issues affecting the industry. Each committee maintains close contact with legislators and regulators at both the federal and state levels, and is on the leading edge of accounting, tax and reporting issues affecting the industry.

Since the late 1950s we have continuously had a member of our firm serve on the AICPA’s committees and task forces dealing with mutual funds. As a result, our firm has been actively involved in the preparation and amendment of the AICPA Audit and Accounting Guide, Audits of Investment Companies. Consequently, we are uniquely positioned to bring to your attention emerging issues that we believe may have an impact on your company.

Connect With a Tait Weller Expert

Harry DeVerter, CPA

Managing Partner

Jim Mahoney, CPA


Karen Vento, CPA


Linda Kaufmann, CPA


Ken Badasarian, CPA


Bill Lipkus, CPA


Kseniya Suslava, CPA