We used to run the examinations.
Greenridge L&C Advisors (VGCCO) 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. VGCCO is a compliance consultancy, not a law firm.
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 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.
Six practices, one discipline: get it right before it's reviewed.
Regulatory & Compliance Program Development
Program design and maintenance, written supervisory procedures and manuals, gap analysis, mock exams, and guidance as the rules change.
AML & Financial Crimes
Anti-money-laundering programs built to withstand scrutiny, from customer onboarding through sanctions screening and transaction monitoring.
Broker-Dealer & Registration Support
FINRA membership and BD/ATS registration, compliance program design, and the ongoing support to keep it current, including FinOp coverage.
Regulatory Structuring
How your registrations and entities fit together for regulatory purposes, and the compliance governance that keeps reporting lines clear.
Regulatory Due Diligence & Change-of-Control
Regulatory diligence on a target and the change-of-control filings that clear the transaction, including Continuing Membership Applications.
Regulatory Inquiry Support
Preparing materials and responses for a regulatory inquiry or exam, alongside your team, not as your legal representative.
- Board and corporate governance, equity-plan design, and drafting of governance or founder documents remain with your outside counsel.
- Negotiating and drafting the purchase agreement remains with your outside counsel.
- Legal representation in any matter remains with your outside counsel.
We bring the regulator's view into the room, in order.
Structure
The right entity and the right terms, set before anything is signed.
Disclose & file
Offerings and filings prepared to survive a careful second read.
Stand up controls
Policies, procedures, and monitoring that actually hold in practice.
Exam & respond
Ready for the exam letter before it lands, and alongside you if it does.
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, and 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.
Roberta Vassallo
CEO of VGCCO and a securities attorney admitted in New York and the District of Columbia, Roberta spent more than fifteen years inside the regulators she now helps clients navigate: Senior Counsel in the SEC's Office of Compliance Inspections and Examinations, Principal Counsel for Enforcement at FINRA, and Senior Regional Attorney at the FDIC.
The terms of engagement.
Greenridge L&C Advisors, LLC d/b/a VGCCO is a compliance consulting firm. It is not a law firm and does not provide legal advice or legal representation. This website is for general informational purposes only. Use of this site, or contacting the firm, does not create a client relationship of any kind. Companies should consult their own legal counsel regarding legal obligations; VGCCO's role is limited to compliance advisory and consulting services. Its focus is federal securities and regulatory matters, and its principal is admitted to practice in New York and the District of Columbia. VGCCO serves both Greenridge affiliates and outside clients and manages conflicts of interest under a written policy available on request.
Engagements are structured as monthly engagements or project flat fees, customized to scope and client complexity. A tailored proposal will follow an initial consultation.