Based out of Withum’s Boston, MA office, Steve has extensive public accounting experience as well as a five-year term in private industry as a chief financial officer. Steve focuses principally on providing audit and tax services to investment advisors and pooled investment vehicles such as hedge funds, regulated investment companies, private equity funds and funds-of-funds.
Learn more about my professional experience and how I spend my time outside the firm.
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Steve is a frequent speaker at financial services-related conferences and has also authored articles on topics relating to the investment management industry
Share The SEC Division of Examinations (the “Division” and formerly known as the Office of Compliance Inspections and Examinations) has released its 2021 Examination priorities. A recap of 2020, as well as key 2021 areas of focus relating to Registered Investment Advisors (RIAs) are discussed below. 2020 Recap With respect to 2020 – the year…
Share The U.S. Senate has approved a $2.2 trillion economic stimulus package to combat the economic effects of the COVID-19 virus. The Senate vote was 96-0. The House is expected to vote on the bill on Friday, March 27, 2020. Some broad perspective on the size of this package: for Fiscal Year 2019, tax revenue…
Share Examination Priorities We recently discussed a recap of the SEC Office of Compliance Inspections and Examinations (OCIE) 2019 examination results. In this follow-up segment, we discuss OCIE’s 2020 examination priorities, which were recently published by the SEC. Key topics relating to Registered Investment Advisors (RIAs) are discussed below. OCIE’s exams are grounded in the…