About Quadrant Regulatory Group · New York
Quadrant Regulatory Group is a compliance consulting firm based in New York that specializes in helping broker-dealers and registered investment advisers navigate regulatory requirements. Led by former regulators and seasoned industry professionals, the firm offers tailored compliance solutions, including FINRA membership applications, regulatory examination management, and anti-money laundering testing. Their team includes founders and managing partners with decades of experience in compliance, finance, and regulatory affairs.
Quadrant Regulatory Group provides bespoke compliance consulting services to financial firms, focusing on regulatory exams, written supervisory procedures, CRD administration, and annual testing. Their experts, many of whom are former regulators or Chief Compliance Officers, help firms of all sizes—from those with one compliance officer to those with full teams—develop and implement effective compliance programs. Services are offered on an hourly, project, or ongoing basis. The firm is SOC 2 Type I compliant and has successfully served over 100 firms with more than 100 years of combined experience. They emphasize practical, cost-effective solutions and strong communication to ensure clients meet regulatory expectations.
- In business
- 10+ Years
- Owner
- Calvin Robinson, Nicholas Pallante, Kossiwa J. Aka, Glenn Marone, Michael Marrone, Patricia Singer
- Serves
- New York, NY
About Quadrant Regulatory Group
Quadrant is a team of senior compliance consultants who specialize in providing bespoke compliance consulting services to broker-dealers and registered investment advisers. We are experts in helping financial services firms develop and implement a compliance program tailored to their needs. We understand the importance of a sound compliance culture, and our team is dedicated to assisting you in achieving this goal.
Our Services
We offer services including FINRA Membership Application, FINOP & Accounting, Independent Anti-Money Laundering Test, and Investment Adviser Compliance. Our professionals consist of former regulators and compliance officers who have extensive experience with managing investment adviser compliance programs.
- FINRA Membership Application
- FINOP & Accounting
- Independent Anti-Money Laundering Test
- Investment Adviser Compliance
Who We Help
We help broker-dealers and registered investment advisers from small to large firms and depending on your needs. We are able to work with firms with only one compliance officer and firms with a whole compliance team.
- Broker-Dealers
- Registered Investment Advisers
- Firms with one compliance officer
- Firms with full compliance teams
Our People
Our team includes Calvin Robinson, Nicholas Pallante, Kossiwa J. Aka, Glenn Marone, Michael Marrone, and Patricia Singer — all with deep experience in compliance, finance, and regulatory affairs.
- Calvin Robinson — Founder & Managing Partner
- Nicholas Pallante — Founder & Managing Partner
- Kossiwa J. Aka — Managing Partner
- Glenn Marone — Managing Partner
- Michael Marrone — Financial & Operations Principal
- Patricia Singer — Financial & Operations Principal