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 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
Insurance
Mortgage Banking
Private Equity Fund Services
Regulated Investment Companies
Special Purpose Acquisition Companies (SPAC)
Venture Capital
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
Los Angeles Business Journal Names Two Withum Leaders as Women of Influence in Accounting
Kimberly Ravenell, tax partner, was recognized for her commitment to client service and mentorship. With more than 30 years of experience advising high-net-worth individuals and closely held businesses, she provides tax planning and compliance guidance. Kim has played a key role in guiding her team and clients through significant industry and regulatory changes while supporting…
SEC Inflation Adjustment to “Qualified Client” Thresholds Under Rule 205-3
On April 28, 2026, the Securities and Exchange Commission (the “Commission”) issued an order (Release No. IA-6961) raising the dollar thresholds that determine whether a client qualifies as a “qualified client” under Rule 205-3 of the Investment Advisers Act of 1940. The new amounts took effect June 29, 2026. Background Section 205(a)(1) of the Advisers…
Limited Partner Self-Employment Tax Exception Faces Critical Appellate Test
The question of who qualifies as a “limited partner” for purposes of Section 1402(a)(13) is now before the federal appellate courts, with potentially significant implications for partnerships and their owners. What began as a dispute over a narrow statutory exception for limited partners has evolved into a fundamental debate over whether self-employment tax liability should…
Tokenized Stocks Are Coming – What Public Accountants Need to Know
Tokenized stocks are getting closer to becoming a reality in the U.S., and us accountants will soon have to review and audit them. These digital versions of stocks don’t always act like the regular shares we’re used to. As Nasdaq and the NYSE work on blockchain‑based versions of stocks, accountants need to prepare for assets…
A Practical Look at the DOL’s Proposed Rule on Selecting Investment Options
On March 31, 2026, the Department of Labor (DOL) issued a proposed rule specific to 401k plans on “Fiduciary Duties in Selecting Designated Investment Alternatives.” This comes at a time when alternative investments are becoming more widespread. While alternative investments may have triggered this proposed ruling, the more important takeaway is how the DOL is…
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
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