With decades of combined experience driving market share and growing revenue, our team has a genuine understanding of US market structure and its impact on asset management, the sales and trading industry, it's people, technologies, and tools. We have led the creation of new companies and award-winning technologies in the trading space, conducted due diligence, advised and served on boards of industry-leading ventures, and have leveraged our understanding of cybersecurity to keep critical information safe. Our experience as business operators knits together cyber, operations, legal, compliance, and technology and customer service to deliver an outstanding experience for our clients.
The one constant in our industry is change. The ability to embrace and harness change is critical to the success of any business. Whether you're just starting out or looking to restructure we can help. Our mission is to create relationships, not transactions. Our promise is that we'll be there, as questions or issues arise, every step of the way.
We have quite broad experience in the capital markets industry and the technology that underpins it, with specific expertise in, equities, securities lending, research and platform sales, sales trading, electronic trading, alternative trading systems, outsourced trading, commission management, transition management, transaction cost analysis, cybersecurity, new business development, vendor selection, and workforce efficiency strategies. Our track record, coupled with clear communication and collaboration will help you drive your business forward.
Michael is a senior executive with comprehensive knowledge of electronic trading and alternative trading systems. Michael has been the CEO of two different ATS’s, Luminex Trading & Analytics, and Harborside Plus. He managed the sales, sales-trading, onboarding, and production support teams for Bear Stearns electronic trading effort for equities. Michael began his time at Fidelity Investments as the SVP and head of the equity division at Fidelity Capital Markets. During that time he served on the board of Level ATS. Later Michael moved to FMR LLC where he started and ran Fidelity Trading Ventures, an internal consulting team focused on creating disruptive and innovative products that benefit execution outcomes for Fidelity's mutual fund and retail clients. Major projects included Luminex Trading & Analytics the first ATS that was designed, funded, and managed by a consortium of 9 of the largest asset management firms in the US. He also lead the development of realtime analytics for Fidelity's Active Trader Pro segment and assisted asset management in the re-design of the firm's securities lending effort. Most recently Michael was the COO and CCO at OpenDoor Securities an ATS focused on US Treasuries. Earlier in his career, Michael spent a decade at Morgan Stanley where he ran global emerging markets sales and sales trading in both NY and London.
Nancy Viner holds a JD from The New England School of Law in Boston, and is a member of both the NY and Massachusetts Bar Associations.
Nancy is a 17 year veteran of Fidelity Investments where she most recently served as a Cyber Security & Technology Risk Management Executive running the Cyber team for Workplace Investing. Prior to that Nancy was the COO for Fidelity Trading Ventures an internal consulting and innovation group that brought Luminex Trading & Analytics to the market, as well as innovations around real time trading analytics that are used by Fidelity's Active Trader Pro unit. She parlayed that expertise into driving the re-engineering of Fidelity's securities lending product suite for asset management.
We have an extensive roster of highly qualified independent consultants that we can leverage when a project requires additional resources. Please feel free to reach out to us for more detail.
Long term assignment to a major global bank. Helped write the plan to restructure the equity trading operation, resurrect the transition management offering and launch a new outsourced trading business. Assisted in the evaluation of several Strategic Investment opportunities.
A well respected VC was considering an investment into a new Equity oriented ATS. We were engaged to produce a detailed report including the evolution and current landscape of the industry, a thorough evaluation of the target ATS, including an evaluation of the target business's operating model and prospects for success.
Strategic advisor to the CEO of a Fintech startup.
Advised on go to market strategy, client introductions, and product development.
Advised on opportunities to add new business lines through strategic partnerships
Leveraging expertise in equity market structure and liquidity management, interviewed the global heads of trading and global heads of equities at large broker-dealers and asset management firms to evaluate the industry's ability to project volume in equity markets and to assess major industry trends.
One of our team is a current Board member of a publicly listed SPAC focused on Fintech investments.
Past Board Service:
Luminex Trading and Analytics
Okemo Mountain School
Sometimes, due to illness, or departures, short term gaps in supervisory oversight can arise. One of the partners currently holds the Series 7, 9, 10, 24, 55, 63, & 99 licenses, and served as a Chief Compliance Officer. We are available to help fill gaps and to coach new supervisors on the critical tasks that they need to manage every day.
The primary function of an expert witness is to assist the court in reaching its decision by providing independent expert/technical analysis and opinion on an issue(s), based on the information provided by those instructing them.
"As a compliance officer for Fidelity Investments, I worked closely with Mike during his tenure as head of equities for Fidelity Capital Markets, and later in his role as senior vice president for Fidelity Trading Ventures. Mike is a highly effective and accomplished senior executive with the ability to establish and communicate an agenda, and effectively challenge and motivate his team to successfully achieve desired results. As a leader, Mike brings integrity, energy and passion to his work each day. And as a business partner, Mike understood the importance of engaging with compliance early and often on strategic initiatives, and was instrumental in cultivating and strengthening the firm's commitment to a strong culture of compliance. Mike's executive leadership abilities will be a valuable asset to any broker dealer and/or asset management organization."
"Michael was both a client and a valuable board member. His insight and strategic vision was a key component to the development of our business as we grew and evolved in a competitive space. He demonstrated strong leadership skills and a deep understanding of the challenges and opportunities in the capital markets space."
"Mike is a no non-sense, get it done kind of guy..I worked closely with Mike at Morgan Stanley a few years back and was quite impressed with his preparation and execution with our most important clients. Mike was able to become a trusted advisor for many. The interpersonal relationship aspect of our business still matters and Mike stood out in that regard by creating value with every customer interaction. Today decision makers/ clients have no time for product-pushing peddlers or self-serving salespeople.
They only want to work with people like Mike who: