Investment Account Analysis
Who We Help?
Bates Group supports law firms, financial institutions, broker-dealers, RIAs, insurance companies, and corporations involved in litigation, arbitration, regulatory inquiries, and internal investigations. Our clients turn to us when account performance, trading activity, damages, or investment outcomes are central to understanding and resolving a dispute.
What We Do?
Bates Group uses proprietary technology and analytical methodologies to produce account performance reports, damages analyses, hypotheticals, and what-if scenarios that support or challenge case allegations. At the core of this work is The Bates Report, our Bates Standard Analysis, which provides a comprehensive view of account activity, investment performance, profits and losses, turnover, holding periods, and asset allocation changes.
When Do Clients Call Bates Group?
Clients engage Bates Group when they need to analyze investment accounts, assess damages, evaluate trading activity, or understand the financial impact of alleged misconduct. We are frequently retained before litigation, during discovery, throughout arbitration proceedings, and during settlement or mediation discussions.
How Clients Use Bates Group?
Clients use The Bates Report and customized supplemental analyses to evaluate case theories, test assumptions, quantify damages, and present complex account activity in a clear and defensible format. Our ready-to-use schedules and reports support expert opinions, legal filings, regulatory responses, hearing preparation, and settlement negotiations.
Our Approach
For more than 30 years, Bates Group has refined Bates Standard Analysis into an industry recognized framework that has been tested and accepted in virtually every major litigation and arbitration forum. We begin with The Bates Report as a foundation and develop tailored analyses that address the specific facts, allegations, and objectives of each engagement while maintaining the accuracy, consistency, and quality our clients expect.
Customized Analytical Reports
Supplemental Schedules
Built on The Bates Report and Bates Standard Analysis, our supplemental schedules are designed to address the specific damages and account performance issues presented in each case. Two of the most frequently requested analyses, Hypothetical Analysis and Standstill Analysis, provide precise, data-driven calculations that help parties evaluate damages and mitigation using clear, defensible financial metrics.
Hypothetical Analysis
Bates Group's Hypothetical Analysis compares actual account performance to an alternative investment strategy by applying the account's actual cash inflows and outflows to a selected benchmark, portfolio, mutual fund, index, or other investment vehicle. This analysis quantifies how the account would have performed under different circumstances and can help evaluate damages, test suitability allegations, or identify specific periods where performance diverged from client expectations.
Standstill Analysis
Bates Group's Standstill Analysis measures how securities would have performed had they remained in an account rather than being sold, transferred, or otherwise removed. This analysis helps quantify damages by comparing actual outcomes to hypothetical hold scenarios, providing a precise assessment of the impact of investment decisions across individual securities or entire portfolios.
Specialized Supplemental Reports
In addition to Hypothetical Analysis and Standstill Analysis, Bates Group offers a wide range of specialized supplemental reports, including margin analyses, mutual fund share class comparisons, risk assessments, trading activity visualizations, and client communication flow charts. Drawing on more than 30 years of industry experience, we develop customized analyses that address unique case issues and evolving regulatory, litigation, and arbitration challenges.