Balance your growth, risk and opportunities
In today’s dynamic financial landscape, broker dealers face new challenges and opportunities for growth.
An uncertain economy and labor market are creating more competition for both businesses and talent. And while innovative solutions and evolving client needs are providing new ways to increase revenue, they’re also bringing increased regulatory concerns.
Let Wipfli provide support to help you manage risk and growth as you navigate increasingly complex business, compliance and technology demands.
Why Wipfli?
Whether you’re marketing to individuals or marketing to entities raising capital, Wipfli can help.
Our broker dealer consulting team brings extensive industry experience and comprehensive support to your challenges. We understand your industry, and we know that issues with technology, people and compliance can impact all areas of your business. That’s why we address your challenges holistically, instead of keeping them isolated and siloed, with solutions that are tailored to your needs.
Assurance services
Wipfli’s assurance services go beyond the numbers and reports to deliver actionable recommendations to improve your organization. Our team of experienced professionals delivers industry-specific audit, accounting and assurance services designed to support your growth and optimize performance.
Tax services
An effective tax strategy is vital to driving growth. At Wipfli, our team takes a comprehensive, proactive approach to help you navigate complex tax law compliance and find opportunities to create a more tax-efficient structure.
Digital services
Use technology to drive success with Wipfli’s digital team. Whether you want to adopt the latest innovations, enhance compliance or gain new efficiencies, our team can apply industry-specific strategies and best practices to support your technology needs.
Outsourced services
Wipfli can help you optimize your compliance, accounting, HR, technology and operations with our outsourced services. We deliver solutions to solve your back-office challenges and enhance your organization’s value.
Risk advisory services
Mitigate risk as you grow your organization with Wipfli. We can help bolster confidence in your risk management practices and compliance, applying industry experience, practical solutions and proactive strategies to your risk management practices. Our services include Rule 206(4)-2 testing, internal control audits, IT general controls reviews, SOX audits and regulatory assessments.
Organizational performance consulting
Wipfli’s organizational performance team helps you align your people, strategy and operations with achieving sustainable growth. We take time to understand your business deeply, developing tailored approaches that meet your vision of success.
Transaction advisory services
Wipfli offers comprehensive, industry-specific transaction services that can help support your organization as you grow or sell. Our team is committed to addressing your strategic and transaction needs, supporting you through every stage of the process and helping you achieve a successful outcome.
Our team
Ronald S. Niemaszyk
With over 25 years of experience, Ron Niemaszyk serves as an engagement principal to many of the firm’s flagship investment partnership and broker-dealer clients. In this role, he is responsible for supporting the delivery of audit and tax services as well as ensuring that clients’ goals and objectives are met.
Paul T. Lally
Paul Lally leads Wipfli’s multi-disciplinary team offering services to the wealth and asset management industry. Leveraging more than 30 years of experience, he helps clients navigate the growth and long-term success of their business. As an industry speaker, Paul is known for his lively, on-target delivery of timely topics, practical strategies and thought-provoking insights. He has delivered keynote speeches to thousands of executives from a multitude of companies. Paul has extensive knowledge of wealth and asset management industry trends, the transformations going on within various companies and the realities of operating a privately-owned financial services firm in today’s market.
Anna Kooi, CPA
Anna Kooi is a partner and leads Wipfli’s financial services practice. She has more than 20 years of experience in serving a variety of public and private clients in the financial services industry. Anna has advised clients ranging from startups to Fortune 50, bringing deep industry knowledge to the clients she services.
John Erwin, CPA
John Erwin is a senior manager with 12 years of experience in audit and consulting services. He is experienced in both public and nonpublic financial statement audits, benefit plan audits and outsourced bank internal audits. John also has experience working with Sarbanes-Oxley Section 404 internal control documentation, testing and consulting services for both accelerated filers and smaller reporting companies. He works primarily in the financial institutions and insurance industries.
