Financial Services

The Consistency You Need in an Unpredictable World

At KSM, we help clients understand the challenges, opportunities, and risks associated with today’s volatile financial landscape. Clients rely on KSM’s expertise to navigate unpredictable markets and to keep abreast of an ever-changing regulatory environment.

Managing risk. Ensuring compliance. Maximizing returns. These are the touchstones of KSM’s financial services offerings. Wealth managers, registered investment advisers (RIAs), and family offices trust our unique expertise to analyze strategies, customize opportunities, and ensure no detail gets overlooked.

At KSM, we take the time to understand the common investor goal. Our in-depth understanding of the financial world ensures that the right questions are asked, the right actions are taken, and each investment is given every opportunity to succeed.

Alternative Investments

Properly structured, targeted alternative investments can be an effective way to offset lagging performance in equities and bonds, leverage a specific investment strategy, or generate superior returns at a lower risk profile compared to traditional investments.

Because of its variable nature, the alternative investment industry is filled with both opportunities and risks. At KSM, we work with a wide variety of alternative investments, including hedge funds, private equity funds, venture capital funds, funds-of-funds, and real estate investment funds, as well as funds registered in the Cayman Islands. We provide them with the strategic advice and tax structuring insights they need to maximize returns while staying current with regulatory requirements. Our expertise can be tailored to both domestic and foreign alternative investment strategies.

Planning to launch an alternative investment fund? We can ensure your fund is structurally sound, optimized for tax savings, and that it will help you meet your core financial objectives.

Broker-Dealers

Regulatory compliance is a complex business. It can also be a high-stakes one. Rules evolve, audits are specialized, and mistakes can be costly. At KSM, we help broker-dealers of all sizes navigate the complex regulatory environment while ensuring their annual reports are compliant and filed on time, every time.

KSM is registered with the Public Company Accounting Oversight Board (PCAOB) and has a team that specializes in broker-dealer financial statement audits, attestation reporting, and tax planning and compliance. Audit and assurance work is performed in accordance with PCAOB standards. When KSM is not the auditor, we provide services such as evaluation and improvement of internal controls, due diligence, and financial statement preparation services for our broker-dealer clients.

The financial services industry can be extremely challenging and unpredictable. Successful brokerage firms know that it pays to have a partner who knows the rules, understands filing requirements, and recognizes the needs of their business. Our experienced, regulatory-focused professionals can provide the necessary guidance your business needs to thrive.

Private Equity

When it comes to private equity investing, a knowledgeable partner that is equally attuned to both fund formations and regulatory issues is paramount. With a rock-solid reputation and years of experience working with both domestic and international private equity funds, KSM has the expertise to guide you and help you thrive in an unpredictable market.

At KSM, we offer comprehensive services to advise private equity funds from formation to exit by proactively addressing tax complexities, ensuring complete and thorough reporting at the portfolio company and fund levels, and navigating fair value issues. And when it is time to buy or sell, we help get the deal done by offering due diligence services, balance sheet structuring, and more.

The investment industry is filled with both opportunity and risk. Our bottom line is helping you make the right decisions that will allow you to take full advantage of your opportunities.

RIAs

RIAs are subject to multiple regulatory bodies, each with its own compliance standards and monitoring processes. Having an adviser that can keep track of the rules, requirements, and timetables, while also providing traditional audit and tax services, is more than valuable. For many RIAs, it is indispensable.

At KSM, we provide SEC- and state-registered investment advisers with a wide range of services, including tax advice, forensic accounting, due diligence, internal audit, and valuations. And for advisers starting their own business, our tax expertise can help navigate all aspects of federal taxation as well as state and local taxation, including economic nexus.

Providing RIAs with the specialized expertise they need – coupled with the creative, responsive service they deserve – is what separates us from the competition. Whether you’ve entered a new business venture and want to make certain you have all the regulatory angles covered, or you need a partner who can connect the dots between tax planning, compliance requirements, and wealth management, our team of dedicated, seasoned experts is ready to help.

Specialty Finance Companies

Specialty finance companies exist across a wide variety of asset classes and industries, including auto lending, equipment leasing companies, point-of-sale financing, and accounts receivable factoring companies. Non-traditional lenders have high earnings potential. But the complex operating environment comes with credit and regulatory risks – not to mention a highly competitive market.

At KSM, we simplify the complex. We know that compliance with the latest guidance and regulations isn’t an option. It’s a necessity. We stay current with tax laws and the ever-changing regulatory environment so we can help you minimize tax exposure and mitigate risk.

It’s all part of our goal to help your specialty finance company maximize its operations and achieve success.