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As former regulators in the financial marketplace, we have a deep understanding of the compliance challenges businesses like yours face. Our regulatory experience has given us a unique perspective on what regulators are looking for, without distorting our understanding of how businesses should be run.

Our consulting team is composed of compliance and financial professionals with over a century of industry experience. We have performed the roles of Chief Compliance Officer, Chief Financial Officer, and as consultants to small, medium, and large broker-dealers and registered investment advisers. Many of our consultants were former examination staff at FINRA and the SEC. We are very familiar with anti-money laundering regulations and requirements and employ a team of Certified Anti-Money Laundering Specialists (ACAMS). Our Certified Public Accountants have decades of experience in preparing financial statements and working with financial auditors.

We have successfully managed hundreds of regulatory examinations which has afforded us insight into effectively preparing our clients for regulatory scrutiny in the form of examinations and inquiries, and providing written responses that address and satisfy regulators’ inquiries and concerns.

Our expertise will simplify regulatory matters for you and allow you to do what you do best – manage your clients’ assets and run your business.

How Can We Help?

Get in touch with us to learn how our team of experienced compliance & accounting professionals, and former SEC and FINRA regulators, can ensure you reach your goals.

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