Financial Services

A partner to Wealth Advisors, Planners, Banks, and Fintechs

Our team of financial services industry specialists will partner with you to ensure your business is  compliant to regulatory changes and ensure that our mutual clients have a complete set of information to make decisions that are in their best interests.  We keep abreast with both industry practice and the regulatory requirements of the SEC, FINRA, and SIPC.

In working with Jacobson Jarvis, you will receive the compliance reporting and guidance you need in order to provide peace of mind to your customers, clients and investors.

Service Offerings

Assurance Services

  • Financial Statement Audits that comply with SEC Rules 17A-5, 204 & 206
  • Surprise Custody Examinations
  • Agreed Upon Proceduresthat comply with SIPC requirements
  • Exemption Provision Reviews

Tax Services

  • Income Tax Planning and Compliance
  • Investor Income Allocation
  • Nexus, Apportionments and Multi-State Issues
  • Protective Filings for Foreign Bank and Financial Accounts (FBAR) and Foreign Controlled Assets
  • Taxation of Carried Interests

Consulting and Advisory Services

  • Agreed Upon Procedures on historical performance results
  • Cybersecurity
  • Due Diligence
  • Consulting on Fair Value Measurements
  • Global Investment Performance Standards (GIPS®)
  • Mergers and Acquisitions
  • Offshore fund audit partnership with firms in the Cayman Island, Bermuda and Mauritius
  • Regulatory compliance for SEC, FINRA, and SIPC
  • Succession Planning
  • Strategic Business Planning

Who We Serve

Broker Dealers

  • Introducing/Non-clearing Retail Brokers
  • Investment Banking

Alternative Investment Funds

  • Fund of Funds
  • Hedge Funds
  • Private Equity Funds
  • Master-Feeder Funds
  • Offshore International Funds
  • Real Estate Funds
  • Venture Capital Funds

Registered Investment Advisors

  • SEC Registered
  • State Registered
  • Exempt Reporting Advisors