Broker-Dealers & Investment Advisors

By leveraging a best-in-class partnership tailored to your specific needs, you can identify your obstacles and build a strategy that targets even your most complex problems. We provide a full spectrum of specialized services and accounting, audit, consulting and tax solutions for the brokerage and investment advisory industries, including:

• SEC/FINRA/PCAOB regulatory analysis and support
• Anti-money laundering program audits and reporting
• SEC required internal control reporting and surprise examinations
• Net capital calculations and Rule 15c3-1 compliance
• Reserve requirements and Rule 15c3-3 compliance
• FOCUS reporting and compliance with new rules and supplemental filings
• SIPC reporting and compliance
• Enhanced data analysis
• Business process and accounting/finance function improvement
• Information security
• State and local tax reviews, including nexus