Financial Services Practice

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1 Financial Services Practice 488 Madison Avenue New York, NY Phone: (212) Fax: (212)

2 About our Financial Services Practice Given today s challenging and unprecedented economic and regulatory environment, it is critical for financial services firms to engage an advisor that understands their complex industry and business issues. Our financial services experts are committed to provide the highest quality assurance, accounting, tax and business advisory services. We service over 250 financial services clients spanning investment entities of all types, including broker dealers and registered investment advisors. We are a PCAOB registered and inspected firm and our professionals have the knowledge and insight to help you navigate through the complexities of the highly regulated financial services industry. Investment entities we serve include: Hedge funds Fund of funds Private equity funds Master feeder structures Offshore funds Commodity pools Venture capital funds Family offers REITS Start Up Services and Structuring Organizational structuring Management & incentive fee structuring Private placement memorandum & partnership agreement review from an accounting, tax and business perspective Corporate structuring and ownership issues Regulatory issues consultation Assurance Services Audit of financial statements Investment performance track record reporting SEC custody audits for registered investment advisors SSAE 16 internal control reviews Agreed upon procedure reporting Accounting Services Fund accounting, including partner allocations and financial reporting FINOP services for broker dealers Back office accounting and bookkeeping services, including payroll administration 2 Tax Services Creative tax planning on investment transactions to optimize returns Preparation of federal, state and local tax returns for investment entities, management entities and general partner/managing members Provide tax estimates for investors and shareholders Assist with FIN 48 issues for financial statement reporting purposes Representation before all federal, state and local taxing authorities Residency reviews

3 Global Resources Through Moore Stephens Grassi & Co. is an independent firm associated with Moore Stephens North America, the North American region and of Moore Stephens International Limited and the 6th largest CPA association in the United States. Moore Stephens International Limited is a global association that consists of more than 300 independent accounting and consulting firms with nearly 650 offices in 100 countries. The breadth and depth of services available to our clients are equivalent to those offered by Big 4 firms. These services are enhanced by a more hands-on, personalized approach to serving client needs. Together, we can work with you to develop a strategy to help you reach your desired goals. An independent firm associated with Grassi & Co. s International Practice Grassi & Co. s International Practice leverages the Moore Stephens network as well as the expertise of our local professionals, who speak more than 25 foreign languages, to provide our clients with professional services needed to meet their global objectives. Through our international experience and global reach we provide domestic and international organizations with a full suite of accounting, tax and consulting services, resulting in our clients benefiting from collective Big 4 equivalent intellectual capital that reaches beyond regional or even national borders into the global market. 3

4 Gary R. Purwin, CPA Audit Partner Gary R. Purwin, CPA Audit Partner-In-Charge - Financial Services Gary R. Purwin is an Audit Partner at Grassi & Co. and has more than 25 years of experience in the accounting industry. His industry experience includes auditing investment partnerships, including private equity funds, as well as providing a host of services to registered investment advisors. He is also able to provide comprehensive solutions with regard to organizational structure and tax considerations to his clients operating in this complex area. In addition, Gary holds a Series 27 license to be a financial operations principal (FINOP) with the Financial Industry Regulatory Authority (FINRA). He is a FINOP for several broker dealers and is the engagement partner on many other broker dealer audits. Gary believes that his experience as being both a FINOP and an auditor of broker dealers allows him to better service his clients in this industry. Gary is also experienced in public company reporting. He is an active member in numerous accounting and industry trade organizations including the American Institute of Certified Public Accountants (AICPA) and the New York State Society of Certified Public Accountants (NYSSCPA). Gary is the current chair of the NYSSCPA Stock Brokerage Committee, which he has been a member of for more than 10 years In addition to being a licensed CPA in New York, Gary is licensed in Connecticut as well. Gary earned his Bachelor s Degree in Business Administration from Pace University. 4

5 Robert Schachter, CPA Tax Partner Robert S. Schachter is a Tax Partner in the Financial Services Practice of Grassi & Co. His extensive public accounting experience spans more than 25 years with transactions involving a variety of financial products derivatives tax efficient trading and investment strategies. Robert assists development stage entities investment partnerships broker-dealers fund of funds and private equity funds. He is often engaged by clients to review partnership agreement allocations and consult on adverse effects reflecting such allocations. In addition he is heavily involved with tax structuring for private equity transactions including the tax ramifications to multi-state consolidated corporate entities with highly-compensated employee owners. Prior to joining the Firm he was with a national accounting firm where he developed his hedge fund experience. Robert also spent several years with a Big 4 accounting firm in the area of international tax. Robert S. Schachter, CPA Tax Partner-In-Charge - Financial Services Robert is a member of the American Institute of Certified Public Accountants (AICPA), New York State Society of Certified Public Accountants (NYSSCPA) where he served as the Taxation of Financial Instruments & Transactions Committee Chair and the New Jersey Society of Certified Public Accountants (NJSCPA) where he serves as the Tax Interest Group Leader. Licensed by the States of New York and New Jersey, Robert earned his Bachelor of Science in Accounting from C.W. Post Campus of Long Island University. 5

6 James A. Anziano, CPA Audit Partner Jim Anziano is an Audit Partner with Grassi & Co. s Financial Services Practice. Jim began his career in 1977 upon graduation from college. His experience and expertise includes investment partnerships and hedge funds, as well as investment advisors. James A. Anziano, CPA Audit Partner Jim heads up the Firm s Fund Accounting and Administration Team and has significant experience in providing audit, accounting and administration services to the Financial Services Industry. Jim is currently a member of the American Institute of Certified Public Accountants (AICPA) and the New York State Society of Certified Public Accountants (NYSSCPA), where he serves on the Investment Companies Committee. He earned his Bachelor of Business Administration from Pace University. 6

7 Stephen Bracone, CPA Audit Principal Stephen Bracone is an Audit Principal within the Firm s Financial Services Practice. He specializes in a wide array of financial services entities including domestic and offshore funds, master-feeder funds, fund of funds, mutual funds and investment advisers. He has more than 20 years of experience in advising investment companies, privately held companies and public companies, in a wide variety of industries. He works with clients on business and administrative issues, including forming and operating businesses, and assists with the formation of new funds. His clients ranged from start-ups to multi-billion dollar funds with a wide variety of trading strategies. In addition to client responsibilities, Stephen is part of the recruiting, training and mentoring process at the Firm. He is involved with interviewing prospective candidates, developing and instructing inhouse professional development seminars and also mentors staff of various levels within the Firm for their advancement and growth. He is a member of the American Institute of Certified Public Accountants (AICPA) and the New York State Society of Certified Public Accountants (NYSSCPA). Stephen earned his a Bachelor of Science in Accounting from Fordham University. Stephen Bracone, CPA Audit Principal

8 Barry Goodman, CPA Audit Principal Barry Goodman, CPA Audit Principal Barry Goodman is a Principal in the Firm s Financial Services Practice. He specializes in providing accounting solutions for hedge funds, private equity funds, fund of funds and closed-end mutual funds. Mr. Goodman is responsible for managing several client engagement teams. He and his staff work closely with clients providing recommendations and implementing solutions that help structure and manage their middle and back offices. Barry spearheads the Firm s initiatives to educate and inform professionals in the alternative fund industry with current trends and relevant issues. He recruits speakers, organizes meetings and facilitates seminars. Additionally, Mr. Goodman is responsible for staff training and developing course materials on timely topics. Barry has more than 20 years of accounting experience. He has worked for both national and regional accounting firms in addition to being a Controller for a global alternative investments platform focusing on leveraged loan investments. He is also a member of the American Institute of Certified Public Accountants (AICPA) and the New York State Society of Certified Public Accountants (NYSSCPA), where he is the Vice Chair of the Investment Companies Committee. Barry earned his Bachelor of Science in Accounting from State University of New York at Albany and a Master of Science in Taxation from Baruch College. 8

9 Amy Rosenthal, CPA Tax Principal Amy Rosenthal is Tax Principal in the Financial Services Practice of Grassi & Co. Prior to joining Grassi & Co., Amy was a Senior Tax Director at a large 2nd Tier Firm, where she ran the financial services tax practice in the Dallas office. Amy has practiced in public accounting for more than 25 years and has 20 years of tax consulting and tax planning experience. Amy works with clients on tax compliance, tax planning, and audit controversy matters. Amy has extensive experience in federal and state issues for both partnerships and corporations. In addition to her experience servicing the Financial Services Industry including hedge funds and private equity funds her industry experience includes real estate, oil and gas, technology, retail, hospitality, and services. Amy Rosenthal, CPA Tax Principal Amy also served as a Tax Manager at a Big 4 accounting firm and as an in-house manager in industry. Amy earned her B.A.C., Bachelor of Accountancy, University of Oklahoma and her M.S., Taxation, University of Texas at Dallas. 9

10 Avi Rosenblatt, CPA Manager Avi Rosenblatt is a Manager in Grassi & Co. s Financial Services Practice where he specializes in pooled investment vehicles, including Hedge Funds, Private Equity and Fund of Funds. Avi Rosenblatt, CPA Manager Avi manages the Fund Administration department where he oversees the day to day activities of the administration clients. He has more than 10 years of experience and is proficient in audit, accounting and tax engagements for clients in the private investment partnerships industry. He also has expertise in consulting on structuring all variety of Funds and performance return examinations of advisors. Avi is a member of the American Institute of Certified Public Accountants (AICPA) and the New York State Society of Certified Public Accountants (NYSSCPA). He is also a committee member of the Hedge Funds Care Young Professionals Committee. Avi earned his Bachelor of Arts degree in Accounting from Queens College. 10

11 We re Ready Understanding your business, knowledge of the financial services industry and proficiency in economic and regulatory issues, makes Grassi & Co. the ideal partner for your firm. Our team of talented professionals are prepared to start working with your management team in achieving your goals now and in the future.

12 About Grassi & Co. Grassi & Co. is a premier professional service organization specializing in accounting, audit, tax, technology consulting, business advisory, forensic, litigation support and valuation services. The Firm is headquartered in New York and has international capabilities through Moore Stephens International, one of the largest associations of independent accounting firms in the world. With steady growth and an unwavering approach, our Firm has developed into a team of nearly 200 professionals. We have grown as our clients have grown, allowing us to become one of the Top 100 largest accounting firm in the U.S. according to INSIDE Public Accounting and among the Top 25 largest firms in New York according to Crain s New York Business. In addition, the firm has been recognized as one of the Fastest Growing Firms in the country by INSIDE Public Accounting and was also recognized by the publication as one of the Best of the Best Firms for seven consecutive years an honor only three other accounting firms in the nation have received. Grassi & Co. has developed several industry practices in addition to Financial Services, including Manufacturing & Distribution, Retail, Food & Beverage, Healthcare, Construction, Architecture & Engineering, Technology and Not-for-Profit.

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