Gery Sadzewicz Consulting,
LLC, provides broad-based, proactive consulting services on a multitude of
compliance, financial, infrastructure, and risk issues affecting financial
service organizations — issues
that can have a direct and indirect impact on the reputation and finances of
your organization. Our objective is to get to the heart of the issue,
accurately convey risks, and arrive at solutions in a manner that minimizes
costly administrative burdens.
Our firm serves small
investment advisory or broker-dealer organizations that as a result of cost and
competitive pressures are strategically aligned to embrace outsourcing and minimize
compliance and related costs.
The Experience Your Company
Requires Gery Sadzewicz Consulting,
LLC, is led by a skilled securities compliance and business professional with thirty
years' experience in identifying compliance, financial, and regulatory risks at
such firms as Oppenheimer & Co., Ernst & Young Investment Advisers, Koch
Industries, and the Walt Disney Company.
Gery has a wealth of practical knowledge involving securities and
investment advisory issues through hands-on experience in creating
broker-dealers and investment advisers. He is an experienced consultant who
understands that management’s time is best devoted to driving business growth
and profitability. Gery maintains a keen awareness of compliance, business,
financial, operations, and technology issues confronting investment advisory
and securities firms covering a wide variety of issues, including: - Products, product development, and business platforms (e.g.,
wealth management, asset management, wrap fee programs, private placements,
capital raises, private equity, insurance, investment banking, IT, and
operating platforms).
- Disclosure, supervisory systems, annual compliance testing,
financial responsibility rules, client suitability, audits, forensic testing,
regulatory audits and inquiries, and related matters.
Among Gery’s
significant accomplishments: - Has served over twelve years as a CCO, CFO, and
FINOP.
- Managed several FINRA and SEC audits in diverse
financial service organizations.
- Created three broker-dealers and thirty investment
advisory firms, including supervisory systems for each.
- Provided compliance and financial consulting
services to senior management of over sixty firms.
- Built three asset management platforms.
- Created multiple fee-based money management
programs.
- Created several separately managed wrap programs
as well as a mutual fund wrap program.
- Advised a multi-billion dollar private company
on insider trading issues relative to its capital markets, CDO office, and IT
departments.
- Oversaw the development of a securities firm’s
IT infrastructure (information flow, email, redundancy, backup, and related
issues).
- Managed a FINRA 1017 change of ownership
application.
- Advised Koch Industries, a multi-billion dollar
private company, on insider trading issues relative to its corporate
development office, capital markets group, and IT departments.
- Created independent AML compliance program and audit
procedures, supervised the overall process, and managed the external audit for
each of the following firms:
- Ernst & Young
Investment Advisors – wealth management, $5 billion AUM, 300 employees
- Ernst & Young Corporate
Finance – annual revenue of $100 million at its peak, 250 employees
- Ernst & Young Corporate
Finance Canada
– annual revenue in excess of $10 million
- Giuliani Capital Advisors –
$85 annual million at its peak
- Chou Mutual Funds
- DLS Capital Management
- Promus Capital
- Midland Asset Management –
wealth management
- InterOcean Wealth
Management – wealth management, $750 million AUM, startup
- InterOcean Securities –
retail securities and investment banking advisory, startup
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