New York-based Grassi & Co. (FY16 net revenue of $53 million) continues to invest in compliance and regulatory consulting and announces the affiliation of COMPASS-Regulatory and Compliance Advisers, led by Gary Swiman as president and Larry Wagner as managing director. The practice will be based out of Grassi & Co.’s Manhattan office.
Prior to joining Grassi & Co., Swiman has held CCO and senior regulatory positions at major broker-dealers as well as large international asset managers. He also served as a partner and head of regulatory and compliance services at two top 30 accounting firms. He has more than 25 years of experience implementing compliance programs for hedge funds, private equity funds, registered investment advisers, investment banks and broker-dealers.
Wagner is a seasoned executive with more than 30 years of achievement in small to large-sized businesses, capital markets, investment banking, hedge funds, private equity and alternative asset management industries. As an experienced CFO, he gained a unique perspective of finance having spent significant time in both private and multi-national public entities.
“Gary and Larry’s approach is unique in providing practical subject matter expertise tailored to each client’s industry and business model,” says MP and CEO Louis Grassi. “This approach results in meeting the client’s regulatory objectives at a fair price without disrupting the client’s business initiatives.”
Both professionals have been widely quoted and looked upon as experts in such publications as the Wall Street Journal and Financial Times.