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Comprehensive Services

Broker-Dealers & Investment Advisors

Get strategic guidance and industry-specific support while safeguarding your firm from potential risks.
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Broker-Dealers & Investment Advisors

Industry-Specific Support

Build a Strategy for Success

By leveraging a best-in-class partnership tailored to your specific needs, you can identify your obstacles and build a strategy that targets even your most complex problems. We provide a full spectrum of specialized services and accounting, audit, consulting and tax solutions for the brokerage and investment advisory industries, including:

  • SEC/FINRA/PCAOB regulatory analysis and support
  • Anti-money laundering program audits and reporting
  • SEC required internal control reporting and surprise examinations
  • Net capital calculations and Rule 15c3-1 compliance
  • Reserve requirements and Rule 15c3-3 compliance
  • FOCUS reporting and compliance with new rules and supplemental filings
  • SIPC reporting and compliance
  • Enhanced data analysis
  • Business process and accounting/finance function improvement
  • Information security
  • State and local tax reviews, including nexus
Proactive Technology Support
Strengthen Your IT Environment

Enhancing your IT control environment allows you to eliminate constant troubleshooting and alleviate manual burdens and process inefficiencies. Our team of IT professionals can evaluate your systems and develop customized, practical solutions to help you achieve your goals.

Increasing your system effectiveness and efficiency
Increase your system effectiveness and efficiency
Mitigating data loss and system breaches
Mitigate data loss and system breaches
Automating processes
Automate processes
Integrating IT into your business environment
Integrate IT into your business environment
Broker-Dealers & Investment Advisors
Specialized Expertise
Industry Focused
Improving your firm’s systems and processes begins with a deep understanding of your industry. Our experienced team has the specialized training required to provide in-depth, industry-specific support, including the continuing education needed to stay current with key issues and developments facing broker-dealers and investment advisors.
Experts
Robert Tuvell - Partner, Audit - San Jose CA | Armanino
Partner
Robert E. Tuvell
Robert has more than nine years of Big Four public accounting audit experience, and over 8 years of private experience.
San Jose, CA
Lincoln Gray - Partner, Audit - St. Louis, MO | Armanino
Partner
Lincoln Gray
Lincoln is a partner in Armanino’s Audit practice and has a specialized focus in financial-service-related entities.
St. Louis, MO
Bianca Sarrach - Risk Assurance & Advisory | Armanino
Partner
Bianca Sarrach
Bianca focuses on improving clients’ operational and financial business processes and accounting procedures.
St. Louis, MO
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Resources
Cash Flow Management Guide
Article
Cash Flow Management Guide
Savvy cash flow management helps you avoid surprises and lower your overall cost of doing business.
July 02, 2024
Material Weakness: Causes, Prevention & Impacts
Article
Material Weakness: Causes, Prevention and Impacts
Our infographic illustrates the top five places internal auditors should look for material weaknesses.
November 01, 2022
Do You Really Need a CFO or Controller, and What’s the Difference?
Article
Do You Really Need a CFO or Controller, and What’s the Difference?
Does your finance function need tactical savvy or strategic vision? Here are the skill sets each role contributes.
August 13, 2021
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