The financial services industry has become increasingly complex.  New financial instruments, technology, globalization, and tightening regulations have created new challenges and risks.  We have developed expertise in the financial services industry by serving a large group of clients. These clients include:

	Investment advisory firms
	Investment banking firms
	Broker dealers
	Mortgage banking firms
	Hedge funds
	Common trust funds
	Collective investment funds
	Insurance brokers/agents

Our involvement with certain professional organizations, educational seminars, and PKF International (an association of accounting firms throughout the world) keeps us abreast of the current issues affecting the financial services industry and allows us to offer you a high level of expertise without the fees required to support the overhead of a national firm.

In addition to the traditional accounting and tax compliance services, we provide a wide range of services that are important to financial service companies and their owners. These services include:

Formation

	Choice and structure of entity
	Review of operating and buy-sell agreements

Operations

	Admitting new partners or shareholders
	Redemption or buy-out of partners and shareholders
	Employee incentive compensation

Business Succession Plan/Exit Strategy

	Review purchase and sale agreements and negotiate terms
	Assist with due diligence – ensure a successful and properly negotiated transaction
	Estate tax planning and administration
	Valuation of company

Compliance

	SAS 70 Reports
	HUD Lender Reporting
	NASD/SEC Reporting
	USAP, Uniform Single Attestation Program for Mortgage Bankers

For more information or for a no charge initial consultation, contact Sandi Thorman, CPA at 704.377.0239, sthorman@gwllp.com.