Successfully Navigating Regulatory Risks

We understand the unique business challenges that this industry encounters whether its taxation of carried interests, fair value measurements, loan loss reduction, loan portfolio enhancements, or compliance with the regulatory requirements of the SEC, FINRA, SIPC, and PCAOB for financial services companies and Dodd-Frank, Basel III, and the Consumer Financial Protection Bureau for financial institutions.

What you can expect when working with us

  • Personal client service
  • Extensive experience in the alternative investment fund sector
  • The ideal choice for Funds with assets under management between $1 million — $500 million
  • More favorable fee ranges compared to Big 4 Accounting firms
  • A majority of our partners have prior experience working with Big 4 accounting firms
  • Ability to share our knowledge and insights on complex tax and financial reporting issues

Services to Alternative Investment Funds

  • Fund assurance services
  • Portfolio assurance services
  • Opening balance sheet audits
  • Business combination analysis and assistance
  • Fund and portfolio tax services: Federal, state & international structuring, consulting & compliance
  • M&A due diligence
  • Credits and incentives
  • Foreign Account Tax Compliance Act (FATCA)
  • Common Reporting Standard (CRS)
  • Buy- and sell-side due diligence
  • Working capital assistance
  • Business valuation
  • Forensic and valuation services
  • Business process improvement
  • IT due diligence
  • Infrastructure design and implementation
  • Enterprise resource planning (ERP)
  • Cybersecurity and privacy services
  • Global compliance risk services
  • Sarbanes-Oxley advisory
  • Internal audit
  • IPO readiness
  • Restructuring services

Broker-Dealer Financial Statement Template

Featured Insights

New Operating Burdens for Private Fund Managers

How Private Fund Managers Can Leverage ESG

Potential Changes Coming to the SEC’s Custody Rules in 2023

Subscribe for Industry Specific Monthly Newsletters

Your Opportunity Advisors

John Murray


Andrew Sledd


Chris Wallace


Elizabeth Lewis

Business Assurance & Advisory Services Senior Manager

Paul Staples

Tax Senior Manager

Mary Margaret Sword

Business Assurance & Advisory Services Senior Manager

Contact Us