Broker-Dealers
Financial Services
As an asset manager, your priority is clear: driving growth and maximizing returns. However, in today’s highly regulated financial environment, compliance, transparency and accountability are just as critical. Navigating the ever-evolving landscape shaped by agencies like the PCAOB, SEC, FINRA, NFA, IRS and CFTC requires precision, expertise and a proactive approach.
Our Financial Services
At Withum, we empower emerging and established alternative investment managers by delivering high-touch, client-centric audit, tax and advisory services that extend far beyond compliance. As trusted advisors, we combine deep industry expertise with personalized attention to help our clients navigate complexity, seize opportunity and grow with confidence.
Hedge Funds
Mortgage Banking
Private Equity Funds
Regulated Investment Companies
Special Purpose Acquisition Companies (SPAC)
Venture Capital Funds
Financial Services Challenges and Trends
Areas of risk, such as regulatory, compliance, operational and volatility, can substantially impact your company’s financial risk. We can help you identify and understand your areas of business vulnerability to create stronger risk management and mitigation strategies, allowing you to make smarter business decisions in the future.
Learn MoreAs the business world has evolved since pre-pandemic times, clients and investors have heightened interest in your attention to your internal cybersecurity protocols. Not only is your sensitive information vulnerable to a cyberattack, but lack of periodic testing and an unsecured email environment can affect your ability to raise capital from allocators.
Learn MoreAs the digital asset ecosystem continues its maturation and ascent as a disruptor of traditional investment strategies, businesses, asset managers and their investors are drawn to this new technology and the opportunities it brings. In short, crypto and blockchain have been and will continue to redefine asset and financial structures while establishing new functions and value accretion – all of which are powering innovation on the fund investment front.
Learn MoreFinancial Services Insights
Colleen Fay Featured on PEI’s Data Dive Podcast
Form PF Could Get Lighter: What the SEC and CFTC Proposal Means for Private Fund Advisers
For more than a decade, Form PF has been one of the more demanding items on the private fund compliance calendar. That may be about to change. On April 20, 2026, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed a set of amendments that would pull back a…
Fifth Circuit Reconsiders Who Counts as a Limited Partner
For years, businesses and tax advisors have searched for a clear answer to a deceptively simple question: When is a limited partner truly a “limited partner” for self-employment tax purposes? Earlier this year, the Fifth Circuit appeared to provide that answer, tying the analysis largely to a partner’s legal status and liability protection. Many taxpayers…
Upcoming Events
Leading the Way: Women in Financial Services Sharing Strategies, Stories, and Successes
3rd Annual Financial Services Symposium
Financial Services Resources
The financial services industry thrives on strong relationships and depends on the experience and insight of trusted advisors to drive growth and maximize investments. Withum’s Financial Services Team delivers deep industry knowledge and unparalleled service, positioning us as a firm of choice. Through our financial services resources, we provide timely guidance and thought leadership to help answer the industry’s most pressing and trending questions.
Why Financial Services Firms Choose Withum
Our team of thought leaders and business advisors is committed to collaboration and building enduring partnerships offering strategic insights, proactive guidance and a long-term vision that aligns with our clients’ success. Withum helps chart a course to uncover innovative and diverse opportunities for your financial services business. That’s the power in the plus – expert guidance and tailored solutions to help you succeed at every stage.
Women in Financial Services
Withum’s Women in Financial Services Team brings together female business leaders and thriving young women through networking events, women-focused roundtables and seminars, happy hours and unique dining experiences. The team serves as a platform to mentor, learn and grow from like-minded successful women in financial services. Our conversations focus on topics and business challenges that affect women leaders, including launching funds and raising capital, navigating regulatory compliance and creating opportunities to close the gender gap in financial services.
Learn MoreAwards and Accolades
Financial Services Industry Involvement
Connect with Our Financial Services Leaders
Contact Us
For more information or to discuss your business needs, please fill out the form and a member of our team will connect with you in a timely manner.