Our consulting services offering is a direct result of Spicer Jeffries’ core services of audit and tax; it was developed and implemented after thousands of hours spent working with hundreds of clients in the securities industry and alternative investment spaces.  We believe that a service offering to clients working within this arena must be as diverse and unique as the clients it serves.  The result is our unique and engaging approach to developing strong working client relationships with success as our focus.

Through the years of dedicated work, our firm has acquired significant experience in the areas of organization and structure, emerging manager issues, and tax considerations.  Our focus on servicing the securities industry and working with clients through very specific situations has exposed our firm to types of knowledge that it would take an individual years to obtain.  Let us be your expert guide through these challenging waters so that you may focus on your goals and success.

We assist with issues such as the determination if an offshore fund would be beneficial in either a mini-master or master-feeder arrangement and if additional offshore blocker entities would be advantageous for tax reasons. What are the audit and tax implications of each of these structures?  For private equity and venture capital funds we can assist with the understanding and determination of various waterfall structures for the general partner’s profit allocation or carried interest, as well as how management fees fit in to general partner’s compensation.

Broker-dealers operate in a highly regulated environment with rules and interpretations of the Securities and Exchange Commission (SEC) and by self-regulatory organizations such as FINRA.  Spicer Jeffries LLP regularly provides clients with guidance on the rules that directly affect the broker-dealer community.  Some examples of instances of service include allowable vs. non-allowable assets, secure demand notes, subordinated loans, customer protection and net capital.  Our professionals have served as expert witnesses before FINRA and the SEC regarding broker-dealer regulatory accounting issues. In addition, we are frequently called upon by clients or attorneys regarding the interpretation of SEC rules and generally accepted accounting principles as they relate to broker-dealers.

Additionally, Spicer Jeffries recognizes that you may need other service professionals for your business.  As such, we can introduce you to highly qualified third party firms in the areas of fund administration, prime brokerage, FOCUS report preparation, financial statement preparation, Written Supervisory Procedures as well as anti-money laundering compliance issues, and RIA compliance issues.  In addition, we can connect you with an attorney who specializes in alternative investments, broker-dealer issues, regulated funds and investment advisor issues and SEC registration and private offering issues.