Photo of Alan Hartmann
Alan Hartmann
Principal
CPA
alan.hartmann@mossadams.com
(214) 242-7463
My Profile

Industry Expertise

Asset Management Technology

Practice Focus

Financial Statement Audits Process & Internal Controls Reviews & Compilations

Biography

Alan has practiced public accounting since joining the firm in 2006 after two years in industry. He has dedicated himself to providing exceptional audit services to financial service companies, primarily broker dealers, asset managers, registered investment advisers, and various pooled investment vehicles including hedge funds, venture capital funds, real estate funds, and private equity funds. For the last five years, Alan has also developed expertise in the high technology field, providing audit services to start-up, small and midsize companies.

Alan's professional experience includes providing financial statement audits, reviews and compilations, developing accounting policies and internal control processes, and analyzing risk and presenting opportunities to improve operations, controls and financial reporting capabilities to controllers, CFOs and business owners.

Professional Affiliations

  • Member, American Institute of Certified Public Accountants
  • Member, Texas Society of Certified Public Accountants

Education

  • BA, economics and mathematics, Colby College

Insights from Alan Hartmann

Alert
SEC Adopts Changes to Fund Names Rule
SEC amendments to the Investment Company Act Names Rule state that fund names must be in clear terms for potential investors.
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Alert
SEC Proposes Amendments to the Customer Protection Rule
The SEC proposed amendments to Rule 15c3-3, the Customer Protection Rule. Learn what this means for your organization.
Alert
Alert
SEC Releases Exam Priorities for Registered Investment Advisers and Broker-Dealers
The SEC Department of Examination rules for 2023 affect registered investment advisers (RIAs) and broker-dealers.
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Alert
SEC Proposes Oversight Guidelines for Investment Advisers
The SEC proposed a rule with an oversight framework for investment advisers using third-party service providers.
Alert
Article
Looking Back on 50 Years of SEC Customer Protection
Note important dates and historical events that led the evolution of customer protection practices in the world of broker-dealers
Article
Alert
SEC Updates Electronic Records Requirements for Broker-Dealers
The SEC is adopting an amendment to its record-keeping requirements to free the rules from a specific digital format.
Alert
Alert
SEC Proposes to Streamline ESG Disclosures Among Investment Advisers
The Securities and Exchange Commission (SEC) proposes changes to Environmental, Social, and Governance (ESG) disclosures.
Alert
Alert
The SEC Proposes Amendments to Form PF
The SEC issued Release Number IA-5950, which proposes to amend Form PF reporting requirements for certain advisors.
Alert
Alert
SEC Issues Proposed Rules to Enhance Private Fund Investor Protection
The SEC proposes new and amended rules in the Advisers Act to protect investors.
Alert
Article
Broker-Dealer Annual Update: New Accounting Pronouncements and More
Accounting and regulatory changes may simplify the 2022 outlook for broker-dealers. Learn the details.
Article
Article
Understanding the Accounting Implications of the New Revenue Recognition Standard for Brokers and Dealers in Securities
Learn about the potential accounting implications for brokers and dealers in securities with the new standard.
Article

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