Financial Services

  1. In the News
    Business interconnectivity
  1. Daniel Altschul

    Daniel I. Altschul



  2. Christine Anderson

    Christine Anderson


    Managing Principal – Growth Strategies

  3. Cecilia Angat

    Cecilia Angat



  4. Nirav Badani

    Nirav Badani



  5. Jason C. Barnes

    Jason C. Barnes



  6. John Basile

    John Basile



  7. Adam Bullock

    Adam Bullock



  8. Sommer Cannon

    Sommer Cannon

    MBA, CPA


  9. Zachary Carr

    Zachary Carr


    Managing Director

  10. Paul Daddio

    Paul Daddio

    CFA, ASA


  11. Man Du

    Man Du



  12. Brad E. Elmer

    Brad E. Elmer

    Managing Director

  13. William Grady

    William Grady

    J.D., CLU®, CFP®


  14. Rick Guillen

    Rick Guillen



  15. Kimberly Jin

    Kimberly Jin



  16. Mathew O'Rourke

    Matthew O'Rourke



  17. Kristi Oates

    Kristi Oates



  18. Bridget Quinn

    Bridget Quinn



  19. John Romano

    John Romano



  20. Kevin D. Schalk

    Kevin Schalk



  21. Larry Smetana

    Larry Smetana


    Principal Emeritus

  22. Christopher J. Tait

    Christopher J. Tait



  23. Keith Troutman

    Keith Troutman

    CPA, MBA


  24. Frank J. Walker

    Frank J. Walker



  25. Baker Tilly Professional

    Lauri Webster


    Managing Director

  26. Jonathan Zeigler

    Jonathan Zeigler


    Managing Principal

How can you move your organization toward the future you envision? Work with professionals who understand your financial services company and will talk with you about your challenges to help you find the right solution.

Our solutions

The financial services industry continues to diversify, but competition and more complex vendor relationships make determining business strategy more complicated.

Have confidence in our ability to assist your organization in attaining your goals because of our experience providing solutions for business needs.

  • Banking and capital markets
  • Asset management
  • Insurance

Banking and capital markets sector

  • Commercial banks
  • Community banks
  • Credit unions
  • Fintechs
  • Mortgage bankers
  • Nontraditional lenders
  • Savings institutions
  • Student loan organizations

Asset management sector

  • Broker-dealers
  • Family office/high net worth family owners
  • Funds of funds
  • General partnerships and their principals
  • Health and welfare funds
  • Hedge funds
  • Institutional investors
  • Management companies
  • Pension funds
  • Private equity firms and funds
  • Real estate investment funds and holding companies
  • Real estate investment trusts (REITs)
  • Registered investment advisors (RIAs)
  • Securities exchanges
  • Venture capital firms

Insurance sector

  • Health plans
  • InsurTechs
  • Life insurance
  • Medical/professional liability
  • Mutual insurance companies
  • Property and casualty insurance
  • Reinsurance
  • State insurance regulators
  • Insurance agencies and brokers

Grow your business

  • Agent talent strategies
  • Analytics, dashboarding and business intelligence
  • Board and audit committee advisory
  • Buy-side and sell-side advisory
  • Capital raising solutions
  • CFO advisory services
  • Cost segregation studies
  • Customer experience enhancement
  • Demutualization consulting
  • Employee stock ownership (ESOP) valuations
  • Fund formation and structuring
  • Go-to-market roadmap development and implementation
  • Growth strategy assessment and alignment
  • Market assessment
  • Merger and acquisition tax structuring
  • Payment transformation
  • Product and service innovation and launch effectiveness
  • Risk optimization
  • Strategic advisory
  • Structure review
  • Structured finance support
  • Tax credits and incentives
  • Transaction advisory, due diligence, structuring and capital formation

Optimize resources

  • Agile internal auditing
  • Benchmarking studies
  • Board and department level training
  • Change management
  • Cost containment strategies
  • Data analytics and business intelligence
  • Executive search
  • Federal, multi-state and local tax planning and compliance
  • Financial modeling and decision support
  • Financial ratios
  • HR consulting and benefits administration
  • Internal audit
  • IT operations management
  • Management company staff requirements and back office structuring
  • Outsourced and co-sourced accounting and internal audit services
  • Resource optimization
  • Robotic process automation (RPA)
  • Strategic planning facilitation
  • Sub chapter S planning
  • Tax credits and incentives
  • Vendor management services
  • Workforce and talent management

Manage risk and compliance

  • Assessments of internal controls
  • Business continuity planning/disaster recovery
  • CFPB and other consumer finance compliance assessments
  • Complex commercial dispute support
  • Compliance reviews
  • Comprehensive risk assessment framework
  • Credit and operational risk consulting
  • Cyber policy and program development, risk assessment and consulting
  • Cyber risk insurance analysis
  • Data privacy assessment, design and implementation
  • Enterprise risk management and ORSA assessments
  • FDICIA assistance
  • Fraud and forensics
  • HIPAA security assessments
  • Infrastructure stability
  • Internal audit co-sourcing and outsourcing
  • Litigation support
  • Loan reviews and collateral reviews
  • Major claims forensics
  • Market conduct investigations
  • NYS DFS cyber readiness and compliance
  • Payment card industry (PCI) compliance
  • Pricing and rate analysis
  • Regulation AB assessments and compliance
  • Regulatory compliance:
    – Anti-Money Laundering (AML)
    – FINRA Rule 3310
    – Gramm-Leach-Bliley Act
    – Bank Secrecy Act (BSA)/Foreign Corrupt Practices Act (FCPA)
    – RESPA/Regulation Z/Dodd Frank
    – USA Patriot Act
  • Review of reserves
  • Risk or economic capital modeling
  • Sarbanes-Oxley (SOX) compliance and implementation assistance
  • Securitization due diligence
  • Security assessment (external/internal)
  • State risk-focused insurance examinations
  • Third party data center reviews
  • Trust department reviews

Gain assurance

  • ALLL/CECL (current expected credit loss) model validation
  • Actuarial due diligence and review of fair value reserves
  • Agreed upon procedures (AUP) reports
  • Attest audit and examination opinions
  • Audits of onshore and offshore funds
  • Certification of loss reserves
  • Corporate and intangible asset valuations
  • Corporate governance annual disclosure assistance
  • Due diligence
  • Employee benefit plan audits
  • Fairness opinions
  • Federal, multistate and international tax
  • Fraud and investigations
  • GIPS® verifications
  • Information systems examinations
  • Investor liquidity requirements
  • IRS practice and procedures
  • Management company operating cash requirements
  • Management fee and incentive allocation structure
  • Model Audit Rule (MAR) implementation assistance
  • Model validation
  • Operational and compliance attestation
  • Preparation of fund, management company, general partner and principals tax returns, and K1s
  • Processes and controls documentation and testing
  • Quality assurance review (QAR)
  • Reinsurance consulting
  • REIT quarterly and annual testing
  • Risk assessment and planning
  • Securities and Exchange Commission (SEC) filings
  • SOC 1, SOC 2 and SOC 3 reporting services
  • State nexus consulting
  • Valuations
  • Verification of performance results
They are more than consultants. The Baker Tilly team raised the quality of our internal audit and risk management functions and helped us through the change management required to ensure success. We are extremely pleased with their work.
Craig Campbell, Chief Administrative and Risk Officer, WPS Health Solutions, Wisconsin Physicians Service Insurance Corp.
Advisors meet to discuss a client project at a computer
Specialty spotlight

Explore our financial crimes solutions

Protect your lending institution, customers, community and the global economy.

An estimated $800 billion to $2 trillion is laundered every year by nefarious groups and individuals. Stay ahead of the curve with technology led solutions. Our Financial Crimes specialists bring together industry-leading solutions and investigative experience to strengthen your control environment, prevent and detect financial crimes and reduce regulatory risk.

On a scale of 1-10, I would give a 15. I always recommend Baker Tilly to our joint venture partners.
Vice president of private equity firm

Our clients

Good people, good communicators and balanced in their approach.
Private equity fund client

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