The Director's Cut
I help broker-dealers, RIAs, and financial professionals navigate FINRA and SEC matters without losing the plot — or the budget.
Cast & Crew
Ryan lives in Arlington, VA with his wife, his dog Cheeto (also known as "The Compliance Department"), and an unreasonable number of framed movie posters.
Before opening this firm, I spent decades inside broker-dealers and investment advisers — building compliance programs, running supervision, and yes, on the receiving end of regulator inquiries. I know what good looks like because I've built it. I also know what bad looks like because I've fixed it.
Today I represent broker-dealers, RIAs, and individual financial professionals across the country in FINRA examinations, SEC investigations, internal investigations, and the everyday compliance questions that arrive in your inbox between 4:30 and 5:00 PM on a Friday.
My clients get the same judgment and instincts I used to keep regulators comfortable inside big firms — without the big-firm invoice.
I started in this business because the work is interesting and the stakes are real. A regulator's letter can be the most consequential piece of paper your firm receives in a given year. The right response — calm, well-cited, on time — is the difference between a closed file and an enforcement action.
I've worked inside wirehouses, regional broker-dealers, and small RIAs. I've written and rewritten WSPs. I've prepared for and survived cycle examinations, sweeps, and cause exams. I've sat across from regulators who were friendly and regulators who were not. The through-line is the same: know the rules, know the facts, and write it down clearly.
I take a small number of engagements at a time. That means when you call, you talk to me — not a screener, not a junior associate you've never met. You get the same person from intake to close.
The Recap
