For over 40 years, DFP Partners has been a committed ally to Broker-Dealers,  Registered Investment Advisers, and other financial services firms looking for accounting and compliance services.

During that time, we’ve built a team of dynamic accountants and consultants who bring their exceptional energy and imagination to each of our client’s challenges. We a pledge to always serve the best interests of our clients above anything else.

At DFP Partners, we know our clients are entrepreneurs with little time to wrestle with the intricacies of securities regulation. That’s why we’ve built our business around managing your regulatory burdens as if they are our own — freeing you to focus on what you do best.

Our offerings include, compliance consulting, registration services, accounting and tax support, and outsourced principal roles such as, Financial and Operations Principal (FinOp), Chief Compliance Officer (CCO), Chief Financial Officer (CFO) and Principal Operations Officer (POO). 

Additionally, we provide independent anti-money laundering testing, cybersecurity procedures and training, and branch inspection programs. We can also manage your new or continuing membership applications.

Accounting

Risk & Compliance

DFP Partners

DFP Partners' headquarters in New York, NY, United States

Scott Daniels

Ross Marlin

Casey M.

This department focuses on guiding and enhancing the capabilities of organizational leadership through strategic direction and mentorship.

Leadership Development

This department manages financial records, ensuring compliance and accuracy in financial reporting.

Accounting Services

The Accounting Team at DFP Partners is dedicated to providing comprehensive accounting and tax support to Broker-Dealers, Registered Investment Advisers, and other financial services firms. This dynamic team handles financial reporting, bookkeeping, tax preparation, audits, and financial planning, ensuring compliance with securities regulation. They work closely with clients to manage their financial operations efficiently, allowing them to focus on business growth and strategic initiatives.

Accounting Team

This department focuses on overseeing and managing partnerships to drive business growth and collaboration.

Partnership Management

The Compliance and Legal Team at DFP Partners is responsible for ensuring that Broker-Dealers, Registered Investment Advisers, and other financial services firms meet all regulatory requirements. This team manages compliance consulting, oversees registration services, conducts independent anti-money laundering testing, and implements cybersecurity procedures and training. Additionally, the team handles branch inspection programs and manages both new and continuing membership applications to help clients navigate the complexities of securities regulation effectively.

Compliance and Legal Team

This department oversees regulatory adherence and ensures that organizational policies align with legal requirements.

DFP Partners

Org chart

Teams

Leadership Development

Accounting Services

Accounting Team

Partnership Management

Compliance and Legal Team

Compliance Department

Offices

DFP Partners

Org chart

Teams

Leadership Development

Accounting Services

Accounting Team

Partnership Management

Compliance and Legal Team

Compliance Department

Offices

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