Financial Services

Financial Services Expertise

While profitability and returns have always been fundamental to success in the financial services industry, investors, the public, and government agencies are requiring dramatically increased precision, transparency, and accountability in financial reporting. At the same time, digital developments have presented previously unimagined opportunities—and challenges—to financial services companies. To meet these growing demands, businesses in this industry must have audit, tax, transaction, and technology advisors who not only respond to the requirements of regulatory reforms and interpret rapidly emerging trends, but who also provide advanced guidance on the impacts of these developments.

Valuable Insight Based on Deep Financial Industry Experience

Do all of your advisors concentrate on financial services businesses? At EKS&H, we do.

In fact, this sector represents one of our five largest industry focus areas. The partners, directors, and senior managers who lead the financial services team help clients stay compliant, minimize risk, and adjust strategies with the speed and agility required by today’s fast-paced business environment.

Services Tailored to Provide You with an Advantage

We provide precise, proactive, and collaborative solutions, including:
  • Audit and assurance – Compliance services related to the SEC Custody Rules, FINRA regulated entities, Regulation A+ filings, and other regulatory requirements
  • Tax compliance and structuring – Fund formation and liquidation, tax efficient structuring, tax diligence, and compliance
  • Transaction consulting – Buy- and sell-side due diligence, valuation, and financial planning and modeling
  • Business technology – IT diligence, cybersecurity consultations, and data analytics
  • Accounting solutions – Accounting advisory and transactional accounting

Our Reputation and Qualifications

EKS&H Financial Services ClientsWith more than 50 professionals serving the financial services practice at EKS&H, we maintain a significant current client list of more than 150 investment and investment advisory, lending, and insurance organizations, including:
  • Private equity and venture capital funds
  • Investment advisors and investment banking
  • Insurance companies and brokerage agencies
  • Brokers-dealers
  • Mortgage banking and alternative financing
  • Crowdfunding
Our experience includes providing accounting and consulting services to early stage funds with less than $5 million in assets under management as well as established funds with in excess of $1 billion in assets under management.

We are currently registered with and subject to regular inspection by the Public Company Accounting Oversight Board (PCAOB), and our financial professionals are members of The New York State Society of CPAs (NYSSCPA).

Talk with Our Industry Lead

Connect with Karla Whittenburg to discuss our financial services practice.


EKS&H Case Study
When Kodiak Building Partners saw an opportunity, the EKS&H Transaction Advisory Services group stepped in to help their executive team make smart decisions. 

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Karla Whittenburg
With the recent increase in cyber-attack activity and the higher risk for the financial services industry, investment management firms must do more to protect their clients’ and their own information.

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I think the collaborative partnership approach that the EKS&H team exhibits is based in our shared servant leader, client-centered culture. Their professionals have been some of our go-to advisors, providing a quick response whenever a question comes up. The relationship we have with EKS&H is extremely valuable to both our business and our clients. Doug Bonnette
Crestone Capital