Highly Skilled Experts. Analysis and Planning. Broad Experience. Contact Continuity.

The financial services industry has become more highly regulated, with ever greater oversight and compliance requirements. The highly skilled experts in our Financial Services Group are uniquely qualified to support companies in the financial services industry, including broker/dealers, mortgage service firms, registered investment advisors and equipment leasing companies.

We provide a broad range of services from basic audit and accounting to business advice and counsel to consulting on the requirements of Global Investment Performance Standards (GIPS). We are a PCAOB-registered firm and are well-versed in all of the state and federal regulatory agencies. When you work with our Financial Services Group, you will benefit from our broad experience and contact continuity; and you will be dealing with principals and managers.

Our services include:

  • Audit and accounting
  • Tax compliance and planning
  • Internal controls design and analysis
  • Compliance examinations
  • Global Investment Performance Standards (GIPS) requirements
  • Analysis and planning for allocation of taxable income among states to reduce overall tax liability
  • Development of procedures to allocate overhead among affiliated entities
  • General business consulting including succession planning, structuring contracts and deals from a regulatory perspective

Who we serve

Our Financial Services Group has served customers in the following areas:

  • Registered brokers/dealers
  • Registered investment advisors (individual and corporate)
  • Mortgage brokers and servicers
  • Equipment leasing companies

What we’ve done

We have many examples of successful engagements, including:

  • Assisted with conversion of entity from a partnership to an S-Corp.
  • Assisted entity with transition of controls and recommendations of duties based on size of entity
  • Provided advisory services in negotiations of contracts

For more information, please contact us at (203) 929-3535, or by clicking below.

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