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
Redemptions and Reality: Rethinking Liquidity in Private Credit
As the Financial Times reported on April 2, the U.S. Treasury is urging regulators to convene now on the risks building in private credit—an indication that concerns around governance gaps in the sector are beginning to intensify. Recent redemption constraints weren’t a sign of failure in private credit, but they did bring a long-standing tension…
Life Sciences Valuations in Tight Capital Markets: When Uncertainty Creates Value
In today’s constrained capital markets, uncertainty has become a primary driver of value in the global life sciences sector. Biotechnology, pharmaceutical, and medical device companies, particularly those operating in innovation hubs such as the United States, Europe, and Asia-Pacific, are increasingly valued on future milestones rather than historical performance. Shifting capital dynamics are reshaping business…
Key Reporting Updates for California Registered Investment Advisers
California’s Department of Financial Protection and Innovation (DFPI) has expanded reporting obligations for state registered investment advisers. In addition to existing financial and disclosure requirements, advisers with certain private company investment activities will face a new annual reporting mandate beginning in 2026. Core Requirements for State Registered Advisers New 2026 Reporting Obligation for Private Company…
Digital Asset Collateral Considerations
As crypto markets evolve, fund managers are increasingly engaging in complex financial instruments such as tokenized repos, lending, and other strategies. While these instruments offer liquidity and leverage, they also raise tax characterization issues under U.S. federal income tax law. Repos are generally perceived as secured loans, but the IRS may treat them as sales…
The Alternative Route – Gateway to the Exciting World of Alternative Investments
A video series focused on the exciting world of alternative investments. Our mission is to provide you with an exclusive look into the unconventional and often esoteric realms of the asset management industry including changes in the marketplace, operational factors, investment strategies, all while learning from thought leaders in the front seat helping to drive…
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
Industry Leader, Partner, Practice Leader
Whippany, NJ
Industry Leader, Partner
Whippany, NJ
Industry Leader, Partner
Red Bank, NJ
Industry Leader, Partner
New York, NY
Partner
Boca Raton, FL
Industry Leader, Partner
New York, NY
Partner
Whippany, NJ
Industry Leader, Partner
Whippany, NJ
Industry Leader, Partner
Whippany, NJ
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.