Contact Us
Who We Are
Leadership
Consultants
Business Development
What We Do
Consulting
Strategy
Clearing and Custodian Contract Review
Succession Planning
Management Consulting
Compliance
Operations
Clearing Conversion Support
Future Operating Model
Platform Review
Technology Review
System Assessment, Due Diligence, Selection & Implementation
Capital Markets
Trade Desk Review
Market Access
Consolidated Audit Trail
Registration
Broker-Dealer FINRA New Member Application
Registered Investment Advisor Registration
Finance
Planning and Client Engagement
Planning Services Advisor Mentoring
Advisor Services Plan Building
Expert Witness
Outsourcing
Consolidated Audit Trail
Outsourced Chief Compliance Officer (CCO)
Outsourced FINOP Services
Trading Supervision
Compliance
Testing (Assurance)
Broker-Dealer Rule 3120/3130 Services
Branch Exams
Anti-Money Laundering (AML) Annual Testing
Registered Investment Advisor (RIA) Annual Compliance
Support
Broker-Dealer and RIA Compliance Support
Form ADV Services
New Products Process Review
Program Review
Broker-Dealer Compliance Program Review
Code of Ethics, Policies & Procedures Manual, Written Supervisory Procedures
Anti-Money Laundering (AML) Compliance Program
Registration
Registered Investment Advisor Registration
Broker-Dealer FINRA New Member Application
Remediation
Independent Consultant SEC/FINRA
Regulatory Response
Governance Risk Compliance Software
Protect
Focus
Mobilize
Analyze
Consolidated Audit Trail Reporting
Complex Clients
Growing Firms
Our Clients
Broker-Dealers
Exchanges / ATS
Investment Advisors
Law Firms
Additional Clients
What We Think
Business Development
David Williams
Managing Director, Head of Business Development
Molly Bryson
Managing Director, Business Development
Gena Spitzer
Managing Director, Business Development
Peter Sheehan
Managing Director, Business Development
/
Who We Are
/
Business Development
Who We Are
Who We Are
Leadership
Consultants
Business Development
What We Do
What We Do
Consulting
Consulting
Strategy
Strategy
Clearing and Custodian Contract Review
Succession Planning
Management Consulting
Compliance
Operations
Operations
Clearing Conversion Support
Future Operating Model
Platform Review
Technology Review
Technology – Cybersecurity / Digital Transformation
Capital Markets
Capital Markets
Trade Desk Review
Market Access
Consolidated Audit Trail
Registration
Registration
Broker-Dealer FINRA New Member Application
Registered Investment Advisor Registration
Finance
Planning and Client Engagement
Planning and Client Engagement
Planning Services Advisor Mentoring
Advisor Services Plan Building
Expert Witness
Outsourcing
Outsourcing
Consolidated Audit Trail
Outsourced Chief Compliance Officer (CCO)
Outsourced FINOP Services
Trading Supervision
Compliance
Compliance
Testing (Assurance)
Testing (Assurance)
Broker-Dealer Rule 3120/3130 Services
Branch Exams
Anti-Money Laundering (AML) Annual Testing
Registered Investment Advisor (RIA) Annual Compliance
Support
Support
Broker-Dealer and RIA Compliance Support
Form ADV Services
New Products Process Review
Program Review
Program Review
Broker-Dealer Compliance Program Review
Code of Ethics, Policies & Procedures Manual, Written Supervisory Procedures
Anti-Money Laundering (AML) Compliance Program
Registration
Registration
Registered Investment Advisor Registration
Broker-Dealer FINRA New Member Application
Remediation
Remediation
Independent Consultant SEC/FINRA
Regulatory Response
Governance Risk Compliance Software
Protect
Focus
Mobilize
Analyze
Consolidated Audit Trail Reporting
Complex Clients
Growing Firms
Our Clients
Our Clients
Broker-Dealers
Exchanges / ATS
Investment Advisors
Law Firms
Additional Clients
What We Think
About
Employment
Contact Us
