Our clients range from financial institutions – including broker-dealers, banks, insurance companies, and RIAs – to law firms and Fortune 500 companies. Our services include...
Data mining and quantitative analyses that deliver practical, flexible solutions for litigation, compliance and regulatory matters.
Compliance, Regulatory & Risk Management
Expert advice, support and consulting solutions tailored to address the needs of companies facing increased regulatory oversight.
Litigation Support & Arbitration Tools
Unbiased expert testimony supported by detailed analysis and persuasive exhibits. An extensive portfolio of arbitration information and tools.
Fraud & Forensic Investigations
Objective financial analysis for complex financial investigations, commercial litigation, fraud and theft cases.
We solve tough, high-stakes problems.
We have the expertise to resolve complex issues.
We create customized solutions.
Each assignment is managed as a unique challenge.
We define success by your standards.
We go far beyond what’s expected of us.
Capital Forensics — By the Numbers
What Clients Say...
“I’ve worked with CFI’s experts on both forensic accounting and liability issues for more than two decades.”
“CFI’s quality control is second to none, as is their understanding of the intricacies of investment-related litigation.”
The confidential nature of our business requires that we maintain discretion regarding our client list.
We would be happy to provide qualified prospects with contact information on our current and former clients.
News & Views
CFI Managing Director, Eric Siber, Interviewed by Brad Wales on the Proper Way to Move a Book of Clients, Under The Protocol for Broker Recruiting
Brad Wales, Host of the Transition to RIA podcast, recently interviewed CFI’s Managing Director, Eric Siber, on the proper way to move a book of clients, under The Protocol for Broker Recruiting. As the industry’s Administrator of The Broker Protocol, we can provide your firm with expertise in Protocol related litigation matters. Watch the interviewJanuary 24, 2022
The SEC’s new Marketing Rule 2021 is a game changer that all financial professionals need to understand. CFI Managing Directors John Ivan and Andrew Lippman, together with Richard Chen, recently provided an overview of 5 key areas of the new rule. Listen to this informative Sara Grillo podcast here: https://saragrillo.com/2021/04/12/new-sec-marketing-rule-2021-5-parts-to-be-aware-ofDecember 8, 2021
The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations.
The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations. The notice is expressly described as a follow-up to its 2018 Risk Alert. It highlights the importance of this topic with citations and guidance resulting from the focused examination of 130 firms referenced as the Advisory Fee Initiative. The key warning to advisers isNovember 22, 2021
As predicted in its 2021 Priorities Letter, the SEC has recently brought several enforcement actions against RIAs for failure to disclose conflicts involved in revenue sharing. In one case, the SEC alleged that the dual registrant RIA failed to disclose the conflicts involved in selecting cash sweep options offered through its Clearing Firm’s platform. AccordingAugust 9, 2021
We welcome the opportunity to learn more about your needs, and to explore whether Capital Forensics can be of help. Contact Eric Siber, Managing Director, at (888) 970-1700, or at: email@example.com