Thomas Gregory "Greg" Reymann II, Managing Partner

Greg brings 30+ years of experience in the financial services industry, serving in executive risk management and compliance roles for some of the most well-regarded financial services companies in the country. Greg has held Chief Compliance Officer, Chief Risk Officer, and Assistant General Counsel roles for large enterprises, advising his clients on a wide range of compliance and regulatory issues.

Greg has developed and implemented compliance programs for investment advisers,  broker-dealer, hedge funds and mutual funds; and has overseen regulatory filings, managed legal issues, and handled regulatory inquiries and investigations from the SEC, FINRA, and state regulatory authorities. Greg also has extensive experience guiding clients through regulatory findings, including Form ADV, Form BD, Form N-1A, and other related filings.
Greg holds two Masters of Law (Taxation and Estate Planning) and has previously held Series 6, 7, 24, and 26 registrations. His Legal and Industry experience combined gives him a comprehensive perspective on the legal and compliance challenges faced daily by regulated entities and their associated person and a unique combination of experience to address them.

Jeffrey Cannizzaro, Senior Compliance Consultant

Mr. Cannizzaro has over 27 years of industry compliance experience and has spent his entire career either providing compliance advice or working and managing large and complex compliance departments for both investment advisers and broker dealers. For the past 15 years, Mr. Cannizzaro has offered his compliance consulting services to registered investment advisors and broker dealers, helping them to develop, maintain and enhance their in-house compliance programs while keeping them in tune with the latest SEC and/or FINRA regulations.
Prior to his consulting career, Mr. Cannizzaro spent 12 years in such capacities as Chief Compliance Officer and Chief Risk Officer. During his career he has developed both compliance and operational procedures that are uniquely designed to marry compliance requirements with the operational needs of an efficient business. Having actually worked within the business environment, and having endured dozens of internal audits, third party assessments and regulatory examinations, Mr. Cannizzaro has a firm grasp of the examiner’s perspective as they audit a firm and can provide practical guidance to help establish a comprehensive compliance program enabling firms to get through a regulatory review with minimal issues. Although Mr. Cannizzaro has worked for some large institutional firms, he understands that any advice he provides needs to be grounded in reality and that it needs to be practical and resource appropriate for your firm.
Mr. Cannizzaro has previously held the Series 7, 9, 10, 24 and 63 designations. Mr. Cannizzaro has a Bachelor of Arts degree in Economics with a concentration in Finance, from the University of Connecticut.