SERVICES

Outsourced FINOP: 

​We provide outsourced Financial & Operations Principal (FINOP) services to registered broker-dealers. This includes daily / monthly / quarterly Net Capital monitoring, regulatory books & records oversight, and filing of FOCUS, SSOI, SIS, Custody, and SIPC reports. We support capital planning, new product approvals, internal controls, and serve as a liaison with FINRA, SEC, examiners, clearing firms, and auditors.

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Our goal is to provide FINRA-domain senior oversight at a fraction of full-time cost.​

Accounting/Bookkeeping:

We offer full-service accounting and bookkeeping support including general ledger maintenance, month-end close, reconciliations, AP/AR, treasury reporting, financial statement preparation, and management reporting. We can support operating companies, broker dealers, private equity vehicles, funds, and investment entities.

 

Our accounting function is designed for accurate, audit-ready, timely reporting.

Compilations:

We provide Compilation services for financial statements where assurance is not required. We assist management in formatting, classification, and presenting financial information in accordance with GAAP. Compilations are useful for internal reporting, early-stage companies, lender discussions, and tax preparation support.

 

Reviews:

We provide Review services that offer limited assurance that financial statements require no material modifications for GAAP compliance. Reviews involve analytical procedures, inquiries, and reasonableness assessments. This is an ideal middle-ground solution when more credibility is required than a compilation, but an audit is not necessary or cost-effective.

Outsourced Engagement Quality Reviews: 

We provide independent EQR services to public accounting firms performing broker-dealer audits. Our EQR services deliver an objective, senior-level review of audit engagement quality prior to report issuance — aligned with PCAOB AS 1220 requirements and the specific nuances of broker-dealer audit practice.