Accounting and Auditing Services
We are committed to increasing the wealth of our clients.
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.
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.