financial services

Capital advice that stands apart.

The consistency you need in an unpredictable world

At Katz, Sapper & Miller, we help clients understand the challenges, opportunities, and risks associated with today’s variable 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, 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.

There is no alternative to proven expertise

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 provide clients 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? Let KSM ensure your fund is structurally sound, optimized for tax savings, and that it will help you meet your core financial objectives.

Our clients include:

  • Hedge funds
  • Funds-of-funds
  • Real estate investment funds

Client-focused, compliance-driven

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 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, tax planning and compliance, evaluation and improvement of internal controls, and due diligence services. Audit work is performed in strict accordance with PCAOB standards. When KSM is not the auditor, we provide financial statement preparation services for our broker-dealer clients.

The financial services industry can be an 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. Talk to one of KSM’s experienced, regulatory-minded consultants and get the regulatory guidance your business needs to thrive.

Invest in our expertise

When it comes to private equity investing, the right fund structure can make all the difference. 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 in both domestic and offshore private equity funds, KSM has the expertise it takes to maximize your investment.

At KSM, we offer comprehensive services to advise private equity funds from formation to exit. We begin by assessing the investor group’s goals before advising on the best way to structure a fund that fulfills those objectives. Our due diligence is anything but standard. Tax considerations. Dividend preferences. Compliance nuances. We leave no stone unturned in the pursuit of a fund structure clients can buy into with confidence.

If you are considering a private equity investment, talk to the experts at KSM about how to originate, structure, and launch a fund that is tax favorable, regulatory compliant, and, above all, primed for growth.

A wealth of expertise, for all your regulatory needs

Regulation is a way of life for registered investment advisers (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, as well as the execution of surprise examinations performed under the Custody Rule.

Providing RIAs with the specialized expertise they need – coupled with the creative, responsive service they deserve – is what separates KSM from the competition. If you would benefit from a partner who can connect the dots between tax planning, compliance requirements, and wealth management, or if you have entered a new business venture and want to make certain you have all of the regulatory angles covered, talk to one of our dedicated, seasoned experts.