Broker-Dealers & Investment Advisers
We help broker-dealers and investment advisers stay in compliance.
Love dealing with regulators? We didn’t think so. But ignoring their priorities has a real risk.
You didn’t get into this business to spend all your time on regulatory compliance. But it’s an area you can’t ignore… if you expect to stay in this business.
Regulators are focused on some very specific areas and priorities, and your firm would do well to pay attention.
As FINRA and Securities and Exchange Commission continues to press forward on their mission to protect investors, broker-dealers and investment advisers will see increased pressure in areas like anti-money laundering, sales practices, protection of customer assets and information, and acting in the client’s best interest.
Are you prepared to address these issues, while executing your market strategy in potentially volatile markets?
That’s what we’re here for.
We’ve been providing regulatory compliance consulting services, as well as performing independent audit, tax, accounting and consulting services for broker-dealers and investment advisers for decades.
From AML independent testing, Supervisory Controls assessment, compliance program reviews, and registrations needs, as well as financial statements audits to complex transaction analysis and tax planning strategies, Kaufman Rossin can be your greatest resource.
We provide unique insight into current regulatory expectations so you can focus on your business and bottom line.
Our team includes former FINRA and SEC regulators who have led broker-dealers and investment adviser examinations, and trained financial services professionals on numerous regulatory issues.
Do you need help evaluating your anti-money laundering compliance program? We help broker-dealers and investment advisers design, review and enhance their AML programs to mitigate risks.
Our forensic accountants are experienced in investigating complex money laundering and fraud schemes in North America, Central and South America and the Caribbean.
Are you maximizing profits and performance? Our business consulting services team can help you streamline processes and maximize the return on your IT investments.
We help broker-dealers and investment advisers comply with:
- Financial Industry Regulatory Authority (FINRA)
- Securities and Exchange Commission (SEC)
- DOL PTE 2020-02
- USA PATRIOT Act
- Bank Secrecy Act (BSA)
- Office of Foreign Assets Control (OFAC)
- Foreign Corrupt Practices Act (FCPA)
Our Professionals











Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Principal – Investment Leader, Risk Advisory Services
Boca Raton
Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao …
Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
Nick P. Tootle spearheads assurance and tax engagements for clients in various industries with a focus in the financial services field. His clients rely on his insights ranging from organizational structuring to compliance with accounting and regulatory rules. Nick advises clients across the in…
Ivan Garces, CPA, CFF, CFE, CAMS
Practice Leader, Principal- Chair Risk Advisory Services, Management
Miami
Ivan Garces is a senior advisory principal, Chair of Kaufman Rossin's risk advisory services practice, and serves as a member of the Firm's Management Committee. He brings clients more than 25 years of public accounting experience, and provides governance, risk management, forensic accountin…
Stephanie Richards, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
As a director in Kaufman Rossin’s Risk Advisory Services practice, Stephanie Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requiremen…
Alex Egan, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environment…
Scott Demar
Senior Manager, Risk Advisory Services
Scott Demar is a Senior Manager within Kaufman Rossin’s Risk Advisory Services practice, where he works with a team of consultants to assist financial services clients with complex business and regulatory risks. He brings over a decade of experience in regulatory compliance, having spent more than…
Lisa Reid, CAMS, CFE
Senior Manager, Risk Advisory Services
Boca Raton
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money launderi…
James Wolcott
Practice Leader, Principal, Business Consulting Services
Miami
James Wolcott is a Principal with Kaufman Rossin, leading the firm’s business consulting services (BCS) practice and mergers & acquisitions industry advisory group. He has provided consulting services to many of the world’s leading organizations on issues of strategy, capital advisory and fi…
Jorge Rey, CISA, CISM
Principal, Cybersecurity & Compliance
Boca Raton
As the Cybersecurity and Compliance Principal, Jorge brings his expertise in cybersecurity and information privacy to the firm's clients.Jorge helps organizations ranging from startups to large public and privately held companies address information security, compliance and IT needs. …
Jeffrey Bernstein
Director of Cybersecurity and Data Privacy, Risk Advisory Services
Jeffrey Bernstein is a director in Kaufman Rossin's Risk Advisory Services practice. His focus includes cybersecurity strategy, governance, investigation, response, compliance, training and intelligence.
Jeff has extensive experience providing cybersecurity governance, risk and compliance ser…
Alex Nguyen
Manager, Risk Advisory Services
Boca Raton
Alex Nguyen is a Manager in the Risk Advisory Services practice at Kaufman Rossin where she brings nearly a decade of financial services experience to her clients.
Currently, she consults with Broker-Dealers, Registered Investment Advisers, and other professionals with a variety of compliance, ri…











Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Principal – Investment Leader, Risk Advisory Services
Boca Raton
Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao …
Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
Nick P. Tootle spearheads assurance and tax engagements for clients in various industries with a focus in the financial services field. His clients rely on his insights ranging from organizational structuring to compliance with accounting and regulatory rules. Nick advises clients across the in…
Ivan Garces, CPA, CFF, CFE, CAMS
Practice Leader, Principal- Chair Risk Advisory Services, Management
Miami
Ivan Garces is a senior advisory principal, Chair of Kaufman Rossin's risk advisory services practice, and serves as a member of the Firm's Management Committee. He brings clients more than 25 years of public accounting experience, and provides governance, risk management, forensic accountin…
Stephanie Richards, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
As a director in Kaufman Rossin’s Risk Advisory Services practice, Stephanie Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requiremen…
Alex Egan, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environment…
Scott Demar
Senior Manager, Risk Advisory Services
Scott Demar is a Senior Manager within Kaufman Rossin’s Risk Advisory Services practice, where he works with a team of consultants to assist financial services clients with complex business and regulatory risks. He brings over a decade of experience in regulatory compliance, having spent more than…
Lisa Reid, CAMS, CFE
Senior Manager, Risk Advisory Services
Boca Raton
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money launderi…
James Wolcott
Practice Leader, Principal, Business Consulting Services
Miami
James Wolcott is a Principal with Kaufman Rossin, leading the firm’s business consulting services (BCS) practice and mergers & acquisitions industry advisory group. He has provided consulting services to many of the world’s leading organizations on issues of strategy, capital advisory and fi…
Jorge Rey, CISA, CISM
Principal, Cybersecurity & Compliance
Boca Raton
As the Cybersecurity and Compliance Principal, Jorge brings his expertise in cybersecurity and information privacy to the firm's clients.Jorge helps organizations ranging from startups to large public and privately held companies address information security, compliance and IT needs. …
Jeffrey Bernstein
Director of Cybersecurity and Data Privacy, Risk Advisory Services
Jeffrey Bernstein is a director in Kaufman Rossin's Risk Advisory Services practice. His focus includes cybersecurity strategy, governance, investigation, response, compliance, training and intelligence.
Jeff has extensive experience providing cybersecurity governance, risk and compliance ser…
Alex Nguyen
Manager, Risk Advisory Services
Boca Raton
Alex Nguyen is a Manager in the Risk Advisory Services practice at Kaufman Rossin where she brings nearly a decade of financial services experience to her clients.
Currently, she consults with Broker-Dealers, Registered Investment Advisers, and other professionals with a variety of compliance, ri…











Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Principal – Investment Leader, Risk Advisory Services
Boca Raton
Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao …
Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
Nick P. Tootle spearheads assurance and tax engagements for clients in various industries with a focus in the financial services field. His clients rely on his insights ranging from organizational structuring to compliance with accounting and regulatory rules. Nick advises clients across the in…
Ivan Garces, CPA, CFF, CFE, CAMS
Practice Leader, Principal- Chair Risk Advisory Services, Management
Miami
Ivan Garces is a senior advisory principal, Chair of Kaufman Rossin's risk advisory services practice, and serves as a member of the Firm's Management Committee. He brings clients more than 25 years of public accounting experience, and provides governance, risk management, forensic accountin…
Stephanie Richards, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
As a director in Kaufman Rossin’s Risk Advisory Services practice, Stephanie Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requiremen…
Alex Egan, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environment…
Scott Demar
Senior Manager, Risk Advisory Services
Scott Demar is a Senior Manager within Kaufman Rossin’s Risk Advisory Services practice, where he works with a team of consultants to assist financial services clients with complex business and regulatory risks. He brings over a decade of experience in regulatory compliance, having spent more than…
Lisa Reid, CAMS, CFE
Senior Manager, Risk Advisory Services
Boca Raton
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money launderi…
James Wolcott
Practice Leader, Principal, Business Consulting Services
Miami
James Wolcott is a Principal with Kaufman Rossin, leading the firm’s business consulting services (BCS) practice and mergers & acquisitions industry advisory group. He has provided consulting services to many of the world’s leading organizations on issues of strategy, capital advisory and fi…
Jorge Rey, CISA, CISM
Principal, Cybersecurity & Compliance
Boca Raton
As the Cybersecurity and Compliance Principal, Jorge brings his expertise in cybersecurity and information privacy to the firm's clients.Jorge helps organizations ranging from startups to large public and privately held companies address information security, compliance and IT needs. …
Jeffrey Bernstein
Director of Cybersecurity and Data Privacy, Risk Advisory Services
Jeffrey Bernstein is a director in Kaufman Rossin's Risk Advisory Services practice. His focus includes cybersecurity strategy, governance, investigation, response, compliance, training and intelligence.
Jeff has extensive experience providing cybersecurity governance, risk and compliance ser…
Alex Nguyen
Manager, Risk Advisory Services
Boca Raton
Alex Nguyen is a Manager in the Risk Advisory Services practice at Kaufman Rossin where she brings nearly a decade of financial services experience to her clients.
Currently, she consults with Broker-Dealers, Registered Investment Advisers, and other professionals with a variety of compliance, ri…











Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Principal – Investment Leader, Risk Advisory Services
Boca Raton
Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao …
Nick P. Tootle, CPA
Principal, Financial Services Assurance and Consulting
Miami
Nick P. Tootle spearheads assurance and tax engagements for clients in various industries with a focus in the financial services field. His clients rely on his insights ranging from organizational structuring to compliance with accounting and regulatory rules. Nick advises clients across the in…
Ivan Garces, CPA, CFF, CFE, CAMS
Practice Leader, Principal- Chair Risk Advisory Services, Management
Miami
Ivan Garces is a senior advisory principal, Chair of Kaufman Rossin's risk advisory services practice, and serves as a member of the Firm's Management Committee. He brings clients more than 25 years of public accounting experience, and provides governance, risk management, forensic accountin…
Stephanie Richards, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
As a director in Kaufman Rossin’s Risk Advisory Services practice, Stephanie Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requiremen…
Alex Egan, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environment…
Scott Demar
Senior Manager, Risk Advisory Services
Scott Demar is a Senior Manager within Kaufman Rossin’s Risk Advisory Services practice, where he works with a team of consultants to assist financial services clients with complex business and regulatory risks. He brings over a decade of experience in regulatory compliance, having spent more than…
Lisa Reid, CAMS, CFE
Senior Manager, Risk Advisory Services
Boca Raton
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money launderi…
James Wolcott
Practice Leader, Principal, Business Consulting Services
Miami
James Wolcott is a Principal with Kaufman Rossin, leading the firm’s business consulting services (BCS) practice and mergers & acquisitions industry advisory group. He has provided consulting services to many of the world’s leading organizations on issues of strategy, capital advisory and fi…
Jorge Rey, CISA, CISM
Principal, Cybersecurity & Compliance
Boca Raton
As the Cybersecurity and Compliance Principal, Jorge brings his expertise in cybersecurity and information privacy to the firm's clients.Jorge helps organizations ranging from startups to large public and privately held companies address information security, compliance and IT needs. …
Jeffrey Bernstein
Director of Cybersecurity and Data Privacy, Risk Advisory Services
Jeffrey Bernstein is a director in Kaufman Rossin's Risk Advisory Services practice. His focus includes cybersecurity strategy, governance, investigation, response, compliance, training and intelligence.
Jeff has extensive experience providing cybersecurity governance, risk and compliance ser…
Alex Nguyen
Manager, Risk Advisory Services
Boca Raton
Alex Nguyen is a Manager in the Risk Advisory Services practice at Kaufman Rossin where she brings nearly a decade of financial services experience to her clients.
Currently, she consults with Broker-Dealers, Registered Investment Advisers, and other professionals with a variety of compliance, ri…
Latest Insights
Featured Blog
Electronic messaging creating compliance challenges for investment firms
Featured News
Jeffrey Bernstein joins Kaufman Rossin as director of cybersecurity and data privacy

Investments | February 07, 2023
Electronic messaging creating compliance challenges for investment firms

Investments | July 25, 2022
Broker-dealers: Direct Market Access compliance continues to be a focus for regulators

Banking | March 15, 2023
Jeffrey Bernstein joins Kaufman Rossin as director of cybersecurity and data privacy

Banking | February 07, 2023
Heidy Duarte of Kaufman Rossin appointed co-chair of FIBA Women’s Leadership Committee

Broker-Dealers & Investment Advisers | December 30, 2022
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