Consulting

Broker-Dealer/RIA Formation: A group of five brokers/managers and their administrative staff from a respected wirehouse became disenchanted with their firm after it was acquired by a major foreign entity.
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Due Diligence Project: Case Study 2 involves a broker-dealer based in a major metropolitan area in the Upper Midwest that provides brokerage services to dozens of banks and other financial institutions, serving over 100 registered representatives across the country.
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Securities

Private Placement Project: A New York real estate development firm that specializes in distressed properties was referred to us by a broker-dealer. The broker-dealer had clients who were interested in investing in this asset class, but the firm lacked the expertise necessary to pull the deal together.
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