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.
Greenridge L&C Advisors is a regulatory and compliance consultancy for broker-dealers, investment advisers, and fintechs whose business depends on a regulator's approval. We are led by a former SEC, FINRA, and FDIC regulator, and we have read thousands of these matters from the inside. We are not a law firm.
What we do
Four practice areas, in the order a firm encounters them.
- Getting licensed. Broker-dealer new member applications, investment adviser registration, and the membership process end to end.
- Staying compliant. Written supervisory procedures, compliance manuals, codes of ethics, annual reviews, and AML programs.
- Examination and enforcement. Exam preparation, document production, and deficiency-letter response, from the side that has read thousands of them.
- Transactions in regulated terrain. M&A, change-of-control filings, and offerings where the deal only closes if the regulator agrees.
We do this for ourselves first
Greenridge does 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, and we maintain the compliance architecture for an insurance agency, an investment-management vehicle, and a technology company. Every process we sell, we run on ourselves.
Who we work with
Broker-dealers and applicants, registered investment advisers, fintechs building where the rules have not caught up, operating companies acquiring licensed entities, and funds and their general partners.
Common questions
Are you a law firm?
What does an engagement cost?
Do you work nationally?
Who leads the firm?
Bring us the letter.
Exam notice, deficiency letter, comment letter, or an application that has stalled. Tell us where you are and we will tell you what happens next.
Bring us the letter →