Rubicon Consulting Group to Provide Financial and Operations (FinOp) Consulting Services for International Investment Management Client

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San Francisco-based Financial and Operations (FinOp) consulting group that offers services coast to coast reaches international shores with the acquisition of its most impressive client for which FinOp services will be provided.

RCG offers cost-effective FinOp solutions to satisfy broker/dealer workflow requirements.

Word is getting out that Rubicon Consulting Group is the most reliable source for Financial and Operations (FinOp) consulting services. After the launch of the company’s website in early 2015, inquiries came from around the country. The most recent—a leading Asian emerging and frontier specialist broker—will be relying on RCG to keep it compliant with the FINRA and the SEC. From timely financial filings, annual audits, FINRA examinations, or the preparation of regulatory reports, this world-class client has chosen Rubicon Consulting Group to professionally handle these mandatory functions on a regular basis.

Located near San Francisco (Walnut Creek) with a presence in New York City, from coast to coast RCG offers cost-effective solutions to satisfy broker/dealer workflow requirements. With almost two decades of industry experience, the specialists at Rubicon Consulting Group are familiar with a multitude of business models and financial conditions. A highly trained FinOp will analyze the client's financial records and develop a program that addresses their specific needs while keeping them compliant.

FinOp Client Service Summary:

  •     FINRA registration
  •     Series 27 Financial and Operations Principal
  •     Comprehensive financial data review
  •     Research FINRA and SEC rules, (including 15c3-1 and net capital requirements)
  •     SIPC-6 and SIPC-7
  •     Net Capital computation
  •     FOCUS reporting
  •     SSOI
  •     Form Custody Filings
  •     And other relevant FinOp procedures

About Rubicon Consulting
When it comes to FinOp consulting services, there’s no organization more dedicated than Rubicon Consulting Group. They have a profound knowledge base working with the FINRA and the SEC. Years of experience providing financial reporting in accordance with regulatory rules and requirements has allowed these licensed professionals to consistently and reliably meet clients’ FINRA requests.

Contact Us
Rubicon Consulting Group offers comprehensive FinOp services that keep broker/dealers compliant.

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Ed Smith
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