Dean T. Carson II, C.P.A.
With 16+ years background of Investment Banking, Financial Services and General Business experience in Financial Accounting, Managerial and Financial Reporting, Financial Analysis, General Accounting, Operations, Research and more we are here for Financial Services Businesses in need of Operational Support - with Expert Skills. We use our knowledge of core Accounting, Reporting, Regulations and more to directly support your Business where you need the help and services to supplement your In-House Services or pickup project driven resources on Accounting, Research, Analysis, Financial Reporting, Excel, Quickbooks, Access or whatever specific needs you have. We know Financial Services which is why you are in good hands with us - we come from the Industry.
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With a key background in CFO & Controllership functions in Asset Management and key foundational experience from Deutsche Asset Management (Morgan Grenfell) and other mid-sized firms, we have full range experience in leading and delivering on Asset Management Financial Reporting, Product Reporting and other specialized area exertise including Management Reporting, Profitability, Funds Analysis, Clients Analysis, BP fee Billings, Performance Fee Analytics, Investment Contract Analytics, SEI Investments or other Advisor and Sub-Advisor Fees, and much more (including Fee Modeling, General Ledgers, Trial Balances, Written Procedures, Reconciliations, Journals, Trial Balances, Payroll, Customer Billings (A/R), Payables (A/P) and more-Expense Analysis, Banking Analysis, Operations Analysis, Client Analysis, Compliance Audit, et. al.). We seek to be your active business support provider where you need our Services for wide ranging Accounting and Finance, Regulatory and Compliance, Taxes, and much more. We know your Business from doing the work, we are members of NYSSA and specialize in Asset Management Support services on projects.
We can help you maintain lean efficiency by sourcing your backoffice functions if you want to focus on the front end, or we can temporarily expand your ability to analyze, report or prepare for Audits. Our support is just a phone call away when you need assistance and onsite or remote support. We are also interested in supporting your related Financial Modeling, Analysis, Projections, Cash Flows or what other related needs you may have. When you need support services for Asset Management, Investment Companies, Investment Advisors, Mutual Funds or other similar needs call us.
Key Sources of Accounting and Regulations: FASB ASC Industry Standards Topic 946 Financial Services Investment Companies, and SEC Act 1940s Investment Companies and Investment Advisers. State Securities Laws and US and State Tax Codes. Applicable Rules Include Title 17 Commodities and Securities Exchanges Ch II Securities and Exhange Commission - Part 270 and 274 The Investment Company Act and Parts 275 and 279 The Investment Advisers Act.
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We have direct area experience and expertise in Broker-Dealer Controlling, Operations, Accounting, and Reporting including calculation of Aggregated Indebtedness and the Net Capital Rule under 15c3-1 with related rules like Subordinated Equity and 15c3-3, and other area rules such as: Know your Customer, FINCEN and AML (Anti-Money Laundering) and much more. We source the Accounting, Reporting and Compliance to GAAP, FINRA and SEC Rules so we are value added on compliance in measures that go well beyond Foundational Awareness of the Training we originally received on the job and at STC (Securities Training Center). We are interested in supporting Broker-Dealers that value compliance and the Rules. Call us if you need support for a FINOP / Series 27 or have supplemental accounting and reporting needs. If you are seeking to reconcile trades, need client billing or operational accounting support and are considering efficient ways to get there, we can be a strong resource. Call us to best discuss.
Key Sources of Accounting and Regulations: FASB ASC Industry Standards Topic 940 - Financial Services Broker and Dealers and SEC Acts 1933 + 34 source for the Net Capital Rule and other related Broker-Dealer Regulatory Accounting and Reporting and FINRA Rule 4500 - Books, Records and Reports, Rule 4200 - Margin and other related rules. Title 17 Commodities and Securities Exchanges CH II Securities and Exchange Commission Part 240 and Part 249. Including but not limited to Form X-17A-5 under Rule § 240.17a-5 Reports to be made by certain Brokers and Dealers and other related needs under SEC Rules. In the world of a CPA we call this OCBOA Other Comprehensive Basis of Accounting or Regulatory Accounting to keep it brief.
Quick Contact Link: firstname.lastname@example.org
We are here to support most types of Financial Services Businesses including Private Equity, Mergers and Acquisitions (M&A), IPOs / Syndicates / Underwriters, Commercial and Investment Banking and Insurance. Where we are able to do so on support services for Accounting, Analysis, Financial Modeling, Tax Analysis, support consulting and more. With direct experience in supporting role for a succesful $ 3 Million Private Equity Capital Raise and experience with Commercial and Investment Banks in Accounting, Management and Financial Reporting, Regulations, Business Analysis, Accounting Systems and more including key knowledge of Reserve Accounting and other specialized areas specific to banks and other Financial Services entities. In the realm of Insurance we recall our roots in formulative years at AIG Audit with broad operational knowledge and exposure to Insurance Products, Rates Filing, Reinsurance, Premiums, Claims, Statutory Accounting awareness and full circle to core business activities of Investment Mangement where Premiums are Invested pending timing to subsequent claims payouts, the heart of the Insurance Business as a profitable entity based on actuarial sciences.
For new areas we are experts on research with progress on the Path towards greater skills in Specialized Areas of Finance through studies with NYSSA / CFA Institute and progressive pathwork in pursuit of the CFA designation in the years ahead. We have the insight and skills to be able to support your needs on Excel with Reporting, Analysis and modelling and more and will continue to grow in this capacity over time. Call us to best evaluate where our capabilities meet your needs, we can help you in many areas especially based on core Financial Services expertise.
Key Sources of Accounting and Regulations and other related notes: FASB ASC Industry Stds - Topics 942 Depository and Lending, Topic 944 Insurance, Topic 948 - Mortgage Banking, Broad Transactions 815 - Derivatives and Hedging and 820 Fair Value, IFRS 13 - Fair Value Measurement, Dodd-Franks Rules, Private Equity in the SEC 1933 and 34 Acts aka Private Placements, IRS and State Tax Laws, Banks Laws and Insurance Laws that pertain to Financial Services Businesses Accounting, Reserves and Statutory Accounting and Regulations, with Tax Incentives and Requirements, and the important element of Markets and Products Analysis that rolls out of CFA Level 1 NYSSA Classes, insight to Legal elements of Investment Banking and more. We are here to assist, call us.
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Our Consulting experience includes providing support to Investment Banks, Commercial Banks and Credit Unions. We are here to support a Broad Range of Financial Services Entities on a Wide Range of needs from the Board Room to Operations - call us to best discuss where we meet on Services.
Dean T. Carson II, CPA & Business Consultant with core Financial Services Expertise from 16+ years Investment Banking, Financial Services and Business Experience.
Special Support Services for Asset Management, Investment Management, Registered Investment Advisors and Investment Companies - we make strong Business Partners for Portfolio Management Businesses and CFA Support Services.
We Focus on FASB Accounting Standards Codifications and IFRS correspondent to Investment Companies and related rules from the SEC and Emerging rule making under Dodd-Franks, we read the IRS and state tax codes and seek your benefits and incentives in Tax Law. We follow Industry news to best support your needs and emerging Industry Impacting events.
Key Resources include:
FASB, the IASB, SEC, ICI, SIFMA and more. US Laws for ERISA, Taft Harley and more.
We participate in continuing Education focused on the Investment Industry with the AICPA, NYSSCPAs, CSCPAs, NYSSA and CFAI.
We follow the Rules on Insider Trading and Promote Investor Protection Awareness. To best support the Public Trust and your Clients Best Interests on Investments like you do. We comply with CPA and CFA Institute Rules on Ethics.
We Can support your needs on GIPS.
Successful Businesses are supported by knowledge, skills and insight. We use broad ranging research to compliment the many diverse needs of Clients on Financial Decision Making support services.
Our Business is about connecting knowledge, experience, teamwork and research to the various needs of Clients on Services.
For Individuals interested in Financials, grow your knowledge on IPA:
Investor Protection Awareness (IPA):
Some Industry Terms:
Buy Side Companies: Institutional investors, mutual funds, hedge funds, insurance companies, independent money managers, and nonprofit organizations with large endowments, such as some universities.
Sell Side Companies: financial services sales ie Underwriters and Broker-Dealers who sell stocks (Equities), bonds (Debt), and other investments.
Capital Markets:- Consisting of Primary and Secondary Markets (Original and Resale) issues of Equity and Debt Securities where buyers and sellers meet for Investment and Financing Opportunities.