Services overview
Licensing, compliance, examinations, and regulated transactions.
Overview ↗
Regulatory · Licensing · Enforcement
We used to run the examinations.
Greenridge L&C Advisors works with firms whose business depends on a regulator's continued approval: getting them licensed, keeping them there, and standing beside them when the letter arrives.
Led by a former senior counsel in the SEC's Office of Compliance Inspections and Examinations, principal counsel for enforcement at FINRA, and senior attorney at the FDIC.
Ex-SEC · Ex-FINRA · Ex-FDIC
Federal securities & regulatory
Admitted NY & DC
Sectio aurea, the right proportion, exactly.
Why Greenridge L&C
Compliance built to hold up under an exam.
Investment advisers, broker-dealers, and fintechs get practical, examiner-ready compliance support from people who ran the exams, not legal representation.
Led by a former regulator
Our principal served inside the SEC, FINRA, and the FDIC, so we know how an exam actually runs.
Consulting, not representation
We build and test your compliance program. We are a compliance consultancy, not a law firm, and do not provide legal advice.
Examiner-ready by design
Policies, testing, and documentation built to hold up when the regulator arrives.
A compliance program built and tested to hold up when the examiner shows up.
What we do
We build, test, and remediate compliance programs for registered firms. We are a compliance consultancy, not a law firm, and do not provide legal advice.
Who it's for
Registered investment advisers, broker-dealers, and fintechs that answer to the SEC, FINRA, or state regulators.
What you get
Policies, testing, mock exams, and remediation, led by a former SEC, FINRA, and FDIC regulator.
What we handle
Six practices, one discipline: get it right before it's reviewed.
- Compliance program design & maintenance
- Written policies & procedures (WSPs)
- Compliance manuals
- Gap analysis & risk assessment
- Mock exams & exam preparation
- Offering compliance support (Form D, blue sky)
- Guidance on regulatory change
- AML program development
- KYC / CIP onboarding
- Sanctions & OFAC screening
- Transaction-monitoring frameworks
- Suspicious-activity escalation
- Independent AML testing support
- FINRA New Membership Applications (NMA)
- BD & ATS registration
- Compliance program design
- Ongoing BD/ATS compliance support
- Financial & Operations Principal (FinOp) support
- Continuing education & regulatory filings
- Registration structure advice
- Which entity holds which registration
- How entities relate for regulatory purposes
- Compliance committee structure
- Escalation & reporting lines
- Compliance governance advisory
- Board/corporate governance and equity-plan design, and drafting of governance or founder documents, remain with your outside counsel.
- Regulatory & compliance due diligence on a target
- FINRA / SEC change-of-control filing support
- Continuing Membership Applications (CMA)
- Advising on regulatory representations
- Regulatory closing conditions
- Post-close compliance integration
- Negotiating and drafting the purchase agreement remains with your outside counsel.
- Exam & inquiry preparation
- Document & data response assembly
- Support for communications with regulators
- Remediation & corrective-action plans
- Findings response & follow-up
- Legal representation in the matter remains with your outside counsel.
How we work
We bring the regulator's view into the room, in order.
Step I
Structure
The right entity and the right terms, set before anything is signed.
Step II
Disclose & file
Offerings and filings prepared to survive a careful second read.
Step III
Stand up controls
Policies, procedures, and monitoring that actually hold in practice.
Step IV
Exam & respond
Ready for the exam letter before it lands, and alongside you if it does.
A defensible company is a matter of proportion, the right entity, the right disclosure, the right controls, in the right order. We bring the regulator's view into the room before the regulator does.
Ex-regulator perspective
Capital-markets fluency
Senior advisers, no leverage
Start a conversation →
We do this for ourselves first
We do not advise on regulated businesses from a distance. We run them.
We took an investment adviser through registration. We are taking a broker-dealer through the FINRA new member application process. We maintain the compliance architecture for an insurance agency, an investment-management vehicle, and a technology company selling into medicine, finance, and law.
Every process we sell, we run on ourselves.
Leadership
A partner-led company.
The people who build our businesses stay on to run them, and every one of them answers to the same high standard of care.
AH
Amy Herrera
Chief Operating Officer
Co-founder and board director of Lifted Ventures, a profitable CPG, distribution, and e-commerce company serving customers nationwide, and a six-year PepsiCo veteran across key-account and foodservice sales. A Captain in the U.S. Army Reserve who oversaw S1 operations for a 600-soldier aviation battalion, decorated with the Army Achievement and Benjamin Harrison Medals and a Distinguished Honor Graduate of her officer leadership course. She holds an MBA, earned with a 4.0, from Liberty and a degree from Texas A&M.
BK
Ben Kushner
Chief Technology Officer
CEO of Greenridge Technologies, leading engineering and the group's technology platform. A games and software engineer trained at Rensselaer Polytechnic, he shipped Low Poly Mouse Game to Steam with 5,000+ downloads, has published multiple App Store titles, and placed first in New Jersey in the TSA Video Game Design competition. Previously a controls engineer at Universal Creative.
CP
Christina Paris
Chief Financial Officer
Founder & CEO of Paris CFO Strategies, with a private-equity background and more than a decade of accounting leadership across Aprio, Wipfli, and American Axle & Manufacturing, where she served as assistant controller. She holds a Master of Accounting from Indiana Wesleyan and leads finance, reporting, and the operating model across the group.
RV
Roberta Vassallo
Chief Legal & Compliance Officer
A securities attorney barred in New York and the District of Columbia, Roberta leads legal and compliance across the group as CEO of Greenridge L&C Advisors. She spent over 15 years inside the regulators, Senior Counsel in the SEC's Office of Compliance Inspections and Examinations (OCIE), Principal Counsel for Enforcement at FINRA, and Senior Attorney at the FDIC, with deep command of securities regulation, fintech, crypto, RIAs, and broker-dealers. JD, California Western School of Law (Dean's Honor List); PhD, Washington University in St. Louis.
SG
Spencer Gareiss
Founder & Chief Executive Officer
Founder & CEO of Greenridge Group and author of Mental Models. At Robinhood he built Robinhood Derivatives from zero to one and led launches across short selling, the Legend trading ladder, the Cortex scanner, and Robinhood Ventures, earning the firm's Founder's Award. He is co-founder of /mkt and chairman of Lifted Ventures, holds the Series 7, 24, 79, 65, and 3, and passed CFA Levels I and II in the 99th percentile. A summa cum laude graduate of Arizona State (Barrett Honors) and a Captain in the U.S. Army Reserve, decorated with the Army Commendation Medal.
MA
Micale "Mick" Allen
Managing Partner
A Managing Partner operating coast to coast at the intersection of sports finance, institutional partnerships, and venture strategy. He is Senior Vice President of Athlete Relations at Blockchain Market (/mkt) and Director of Bowl Partnerships for the U.S. Army Bowl, and has originated more than $6.2 million in equity-based investments securitizing future professional earnings across roles at X10 Capital, Big League Advantage, and the NFL Players Association. He holds an MS in Sports Management and has been recognized as an industry leader by Front Office Sports, Forbes, and the National Football Foundation.
Explore
From the regulator's side of the table.
Getting licensed, staying compliant, and standing beside you when the letter arrives. Start with what is in front of you.
Regulatory transactions
Change-of-control filings and CMAs where the regulator gates the close.
Explore ↗Common questions
Are you a law firm?
No. Greenridge L&C Advisors is a regulatory and compliance consultancy, not a law firm, and it does not provide legal advice or representation. Its principal is admitted to practice law in New York and the District of Columbia; any legal services are provided only under a separate attorney engagement.
What do you actually handle?
Getting licensed, staying compliant (AML, WSPs, reviews), exam and enforcement response, and the regulatory side of transactions.
What should I do when I get a deficiency letter?
Do not improvise the response; it becomes part of your record. We help you assemble a complete, credible one. See responding to a deficiency letter, and involve counsel for legal questions.
Who leads the firm?
Roberta Vassallo, a former senior counsel in the SEC's OCIE, principal counsel for enforcement at FINRA, and senior attorney at the FDIC.
Start here
Tell us what you're up against.
A transaction on the horizon, a registration to stand up, an exam letter on your desk, or a compliance program due on a date that's already close. Start with the situation, we'll tell you how we'd handle it.
- A direct reply from a senior adviser, not an intake queue.
- No obligation, and nothing you share goes further.
- Plain answers on approach, timeline, and fit.
Engagements are structured as monthly engagements or project flat fees, customized to scope and client complexity. A tailored proposal will follow an initial consultation.