Intersource Consulting Group LLC is a financial services consulting firm, specializing in compliance with securities regulation for FINRA/SEC-registered broker-dealers, SEC-registered investment advisers, and for the financial services compliance review needs of financial technology (“FinTech”) companies.
Intersource acts as your right-hand, outsourced compliance and/or financial specialist, providing the SEC & FINRA with the answers they need to keep your firm in business, and your operations thriving.
Whether it’s guidance through a regulatory examination, conducting mock examinations, facilitating a New or Continuing Membership Application, computing your net capital, projecting your Pro Forma financials, or consulting on operational restructuring – make no mistake that Intersource Consulting Group is the regulatory answer for your financial services firm!
A founding member of the Institute for Innovation Development’s FinTech Radar program, Intersource Consulting Group also pledges its marketing & networking support to Accelerators, Incubators and FinTech clients. Through its wide network of financial services and investment advisory companies, Intersource will strive to identify business synergies where Accelerators, Incubators and FinTech members can all seek potential business opportunities within the larger financial services landscape.
Intersource Consulting Group is spearheaded by the following two financial industry stalwarts and seasoned compliance professionals:
Donald R. Pollard - serves as the Chief Executive Officer of Intersource Consulting Group, basing his operations in New York. Mr. Pollard, an experienced executive with over 25 years in the investments industry (including Wall Street), oversees Compliance, Operations and Business Development for Intersource.
Don’s client-facing services for Intersource feature his critical role as the remote Chief Compliance Officer ("CCO") for Intersource’s broker-dealer & registered investment adviser ("RIA"s) clients.
Ernie D. Kappotis - is the Chief Financial Officer of Intersource Consulting Group, basing his operations in Greater Boston. Mr. Kappotis serves as Remote FINOP (“Financial and Operations Principal”) (SEC-required) for broker-dealer clients.
With twelve years of rock solid experience in broker-dealer and investment advisory compliance & accounting combined with his experience as a lead FINRA sales practice examiner, Mr. Kappotis provides the analytical difference on the financial/capital/profitability/compliance side that your broker-dealer or investment adviser needs to navigate this tight, cost-centric regulatory environment.
Ernie provides clients with the inside-track for understanding the various FINRA/SEC regulatory perspectives & expectations.
Please feel free to contact us, either on-line through www.intersourcecg.com or through e-mail firstname.lastname@example.org to initiate creative conversations! None of us get anywhere without a helping hand!