Asset Management & Broker-Dealers

Invest in Your Success

When investments are your day’s work, you know the value of risk, but it’s an element best reserved for your portfolios, not your relationships with regulators.

Moss Adams helps more than 600 broker-dealers and alternative investment companies remain in compliance, adapt to changing regulations, and uncover opportunity by providing insight on tax-efficient structuring, planning, and operational efficiency.

You’ll work with professionals who not only have technical skills in accounting and compliance but also a nuanced understanding of your industry and its unique challenges. With offerings that span the full breadth of your needs, you can feel confident the right expertise is close at hand when you’re ready to grow or enter new business territory—and that your engagement team will work seamlessly to deliver a comprehensive solution.

Learn more about how we can serve your firm:

Registered investment advisors, institutional investors, and a wide range of fund types.
Self-clearing and fully disclosed broker-dealers, dually registered firms, and more.

Services

Sharper scrutiny and stricter regulation may be the new normal in your industry, but that doesn’t mean you have to resign yourself to less opportunity.

Our professionals are equipped to not only guide you through your financial reporting challenges but also illuminate new ways your firm can prosper, whether it’s through stronger controls or more efficient tax management.

Assurance

Making smart, informed business decisions requires quality financial information. Our assurance professionals go beyond compliance work, digging into the numbers to provide critical insights to help you reach your business goals through:

  • Financial statement audits and reviews
  • Merger and acquisition consulting
  • Annual surprise examinations of client assets in custody
  • Compliance with SEC Rule 17a-5, including the underlying provisions of SEC rules 15c3-3
  • On-the-spot verification procedures for client assets in custody, either in response to SEC rule 17a-13 or the SEC’s custody rule for firms dually registered as investment advisors
  • Internal control examinations, either as required by SEC rule 17a-5 or the SEC’s custody rule for affiliated investment advisors or for purposes of discretionary internal risk management
  • Assistance in preparation for ongoing regulatory developments

Tax

If you aren’t taking advantage of favorable tax exemptions and incentives, you’re leaving money on the table. Our tax professionals are well versed in the code and can help you not only remain compliant but also leverage key opportunities to devote more revenue to business growth—and less to the IRS. We offer:

  • Tax projections
  • Preparation of federal, state, and local partnership income tax returns
  • Timely delivery of Schedule K-1s to partners
  • Tax planning regarding securities transactions
  • Representation before the IRS or other tax authorities
  • Guidance on structuring general partner entities to achieve better tax efficiency
  • Counsel on carried interest taxation
  • Recommendations for handling multistate taxation situations
  • Consultation on fund organizational structure
  • Advice about operational techniques

Insights


Article
From the IRS’s treatment of crowdfunding to Section 385 concerns, our third quarter briefing unveils the issues impacting private equity and venture capital firms.

Guide
The ASU, which introduces a new Accounting Standards Codification (ASC) Topic 606, Revenue from Contracts with Customers, fundamentally changes how companies across nearly every industry will recognize revenue.

Article
Learn how a benefit claims audit serves as a cost containment strategy to help ensure your company isn’t losing money to improperly paid claims.

National Practice Leader

Industry Professionals