We are THOUGHT LEADERS STRATEGISTS RISK MANAGERS SUBJECT MATTER EXPERTS TEACHERS COMPLIANCE GEEKS GOVERNANCE WHIZZES PROBLEM SOLVERS COACHES INDEPENDENT THINKERS PROJECT MANAGERS

Who CONNECT PEOPLE MANAGE COMPLEXITY REDUCE ERRORS SOURCE TALENT TELL STORIES BELIEVE IN ETHICS TAP POTENTIAL IMPROVE YOUR BOTTOM LINE ELEVATE PEOPLE SPARK INNOVATION IMPROVE PROCESSES

 
 
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ReGroup is a multi-disciplinary consulting firm serving investment advisers.

SUCCESSFUL INVESTMENT ADVISERS DEMAND THOUGHT LEADERSHIP, A RESULTS-ORIENTED METHODOLOGY, AND INSIGHTFUL PROBLEM SOLVING FROM A PARTNER THEY TRUST.

REGROUP IS THAT TRUSTED PARTNER.


Who We Are

Ann E. Oglanian

Founder and Managing Partner

ANN OGLANIAN, President and CEO

Ann has more than 25 years of professional experience in the investment management industry providing strategic analysis and practical guidance on creating opportunities for growth while taking informed risk.

Ann’s practice focuses on business planning, product development, regulatory and operational risk management, and executive-level search and coaching. 

  • Founder of ReGroup, LLC in 2002.

  • Managing Director, General Counsel, and Chief Compliance Officer for Montgomery Asset Management ($10B AUM).

  • Law partner in the investment services practice group of Vedder Price, representing a wide range of mutual funds, investment advisers, independent fund directors, and broker/dealers.

  • Associate Counsel, Strong Capital Management ($38B AUM) and Kemper Financial Services ($60B AUM).

  • BA, Trinity University in San Antonio, TX and JD, University of Iowa, College of Law.

Ann is the author of several investment industry articles, a regular contributor to investment industry journals, and a sought after and engaging speaker on a wide variety of topics, including leadership, professional development, and corporate ethics. Ann is a member of the American and Illinois Bar Associations.


 

Adam J. Reback

Partner and Head of Private Investment Funds Practice

ANN OGLANIAN, President and CEO

Adam has 25 years of professional experience in the investment management industry helping firms navigate the evolving regulatory landscape while accomplishing critical business goals.

Adam J. Reback leads ReGroup’s national Private Funds Practice, focusing on the regulatory and compliance needs of hedge funds, private equity funds, registered investment advisers, broker-dealers and independent research providers. Adam is based in New York City. 

  • 25 years of investment management industry experience.

  • 18 years as a sitting Chief Compliance Officer.

  • CCO of an SEC and NFA registered multi-strategy hedge fund manager with long/short equity and quant strategies comprising $1.6 billion AUM.

    • Operations Committee membership; led governance restructure and jointly oversaw HR, IR, Operations, and IT Departments.

    • Managed legal and regulatory compliance matters globally, including the design, implementation and assessment of compliance programs.

  • CCO of publicly-traded asset management firm with global business comprised of long-only SMA platforms, hedge funds, mutual funds and broker-dealer subsidiary comprising $16B AUM.

  • Previously held FINRA Series 7, 9, 10, 24, 62, and 63 registrations.

Adam is a regular contributor to various investment industry periodicals and frequent speaker on a wide variety of topics, including insider trading, trade desk oversight, data integrity/big data compliance, third party due-diligence, CCO liability and managing regulatory examinations and investigations. In 2016, Adam was invited by the SEC to speak at their Annual National CCO Outreach program and is a frequent speaker at various industry events and conferences including GAIMOps, ComplianceWeek, IA Watch, NSCP, OFA, NRS, RCA, PEI SuperReturn and Dow Jones. Adam is a member of NSCP, SCCE and FBICAA.

Adam served on the Board of Directors of The National Society of Compliance Professionals (“NSCP”) from 2012-2018 where he created and chaired the NSCP Private Funds Committee. Adam attended New York University and completed the FBI Citizens Academy.

As Quoted In:

Bingham, K., “The SEC Is Calling: What CCOs Should Expect During Initial Communications With OCIE Examiners”, The Hedge Fund Law Report, (Sep. 13, 2018).

Bingham, K., “What Fund Managers Need to Know About Corporate Access: The Risks and Rewards of Speaking Directly With Issuer Management”, The Hedge Fund Law Report, (Nov. 15, 2018).

Bingham, K., “What Fund Managers Need to Know About Corporate Access: Six Front-End Controls to Manage the Risk of Inadvertently Receiving MNPI”, The Hedge Fund Law Report, (Nov. 29, 2018).

Bingham, K., "What Fund Managers Need to Know About Corporate Access: Implementing Testing and Preparing for SEC Scrutiny”, The Hedge Fund Law Report, (Dec. 13, 2018).


Speeches

2019

Data Check-In Managing Big Data & Data Privacy Compliance | GAIM Ops Cayman

Third Party Due Diligence for Private Funds | Young Jewish Professionals General Counsel & Compliance Conference

Addressing & Understanding Your Strategic Third Party Exposure | ComplianceWeek Third Party Risk Management Oversight Summit

2018

Regulatory Interchange: SEC and NFA | NSCP National Conference

New Developments in Compliance Technology | NSCP Spring Conference

Insider Trading: Controls for Research Providers, Expert Network Services, Corporate Access and other Sources of Information | NSCP National Conference

The Ethics: Big Data & Web Scraping – What is Acceptable in 2018? | Corporate Counsel Hedge Fund General Counsel and Compliance Officer Summit

Big Data:New Sources and Effective Compliance for Web Scraping and Pll | GAIM Ops Cayman

Big Data: New Sources and Effective Compliance for Web Scraping and PII | GAIMOps West

Emerging Issues and SEC Exam Priorities in 2018 | Regulatory Compliance Association Symposium – Enforcement, Compliance & Operations

New Compliance Initiatives in Data Management Capabilities | Operations for Alternatives

Compliance Lessons Learned: Peer Proven Tips to Avoid Risk & Expense | IAWatch 18th Annual Commitment to Compliance Conference

Preparing for SEC Examinations | SuperReturn East – SEC Regulatory Panel

2017

Operational Alpha: Using Technology to Improve Margins | GAIM Ops

Ensuring Compliance and ODD for Big Data Usage in Funds | GAIM Ops West

Prevention of Insider Trading: MNPI & Corporate Access Controls | Operations for Alternatives

Insider Trading and Market Abuse | NSCP National Conference

Regulatory Interchange: SEC and NFA | NSCP

SEC Exams: Priorities, Prep, Tips and Proven Practices | IAWatch Annual Commitment to Compliance Conference

Managing an SEC Examination | SuperReturn East

Regulatory Review Panel | NSCP National Conference

Regulatory Enforcement Issues and Trends with the SEC, NFA and FBI | NSCP Spring Conference

2016

Private Funds Adviser Panel | U.S. Securities & Exchange Commission National CCO Outreach Program

Moderator: Lunch with the Regulators: SEC, NFA, FINRA | NSCP Spring Conference

Assessing Your Cybersecurity Program – Best Practices | NSCP Spring Conference

Regulatory Interchange: SEC and NFA – Moderator | NSCP

2015

Insider Trading and Prevention of Market Abuse | NSCP National Conference

Insider Trading – How Recent Cases Have Altered the Paradigm | NSCP Spring Conference

Regulatory Exams Review | NSCP Spring Conference


Jacqueline Boktor, Controller

Jackie joined ReGroup in 2007, and has 11 years’ experience in operations, office AND ACCOUNT management, and client service. 

She provides the foundation and positive attitude necessary to meet the high standards we have for serving our clients.

Jacqueline began her career with ReGroup as an office manager and transitioned into the role of operations and finance management where she implemented and monitored operational systems, processes, and policies in support of ReGroup’s business needs.  She plays a significant role in long-term planning and overseeing the firm's financial management.

Jacqueline earned her BA in Political Science from the University of San Francisco. 


Our Clients

 IF YOU MANAGE MONEY, YOU'RE IN THE RIGHT PLACE.

REGISTERED INVESTMENT ADVISERS

INSTITUTIONAL MONEY MANAGERS

PENSIONS PLANS

MUTUAL FUNDS

FUND DISTRIBUTORS

INDUSTRY ASSOCIATIONS AND VENDORS

 

HEDGE FUNDS

PRIVATE EQUITY FIRMS

MANAGER OF MANAGERS

LIMITED PARTNERS

INDEPENDENT RESEARCH PROVIDERS

 

Our Approach

1. We're curious

We know the investment management business, but we don't know your investment management business.  Learning your business requires a curious mind, and we're really curious. Because we've worked with so many unusual and complex firms, we know how to learn firms, and we want to learn yours.  

 2. We Use multiple disciplines to solve problems

Our approach involves drawing from multiple disciplines to redefine problems outside normal boundaries and reach solutions based upon a new understanding of complex situations. Our sweet spot is anywhere that disciplines intersect.

The first use of the multidisciplinary approach was during World War II by what became known as the military–industrial complex. Notably, the Lockheed Aircraft Company set up its own special projects operation—nicknamed the Skunk Works—in 1943 to develop the XP-80 jet fighter in just 143 days.

ReGroup is your Skunkworks. 

3. We Strengthen your organization from the inside out

A close look at even the most successful investment adviser can reveal small issues that, left unresolved, add up and eventually slow your firm down. We take interest when that accumulation makes your firm less competitive and keeps it from reaching its full potential.

We identify challenges vertically within functions, horizontally across functions, and within the culture of an organization. Then we help turn those issues around so the company can grow, create lasting value, and be a more competitive investment management firm.

4Why our solutions work

We approach problem solving with a risk management mindset in this way: not everything can be solved, and there are a lot of great solutions that produce no return on your investment. Our solutions work because we focus on solving the issues that matter. Every engagement includes problem identification, prioritization, execution, and reporting.

5. What you get

Our goal is to educate our clients, not just hand over our recommendations and call it a day. We provide useful reports you can share and reuse, plans for communicating organizational change to your team, and strategies for staying on track. Most importantly, we work with you closely to make sure you maximize the effectiveness of your role in the process. 

6. STAGES OF DEVELOPMENT

ReGroup's clients are in every stage of development:

  • Start-up firms before they start up.
  • Firms in transition who need to 'regroup'.
  • Firms that are growing so fast they're growing right out of their own expertise, people, processes, and systems.

Our clients are large and small, complex and simple. We use the collected experiences and learning from each to help the next client along the way.

 
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What's In A Name?

LIKE MANY GOOD THINGS, OUR NAME WAS A HAPPY ACCIDENT.  

In 2002, when ReGroup was founded, regulatory activism was at a high boil, and the phone was ringing off the hook with firms looking for regulatory management advice.

We tried on the name Regulatory Management Group, which made for a very long URL; so we tried shortening it to ReGroup - and it worked!  

Since then, we've evolved along with our clients to solve many kinds of problems.  As it turns out, the name is infectious, relatable, and relevant: helping investment advisers regroup is exactly what we do.  

We all have times when we need to "stop for a short time and prepare before continuing doing something that is difficult: to stop and think, reorganize, etc., before continuing" - the very definition of the word.  

 
WHEN EXTRAORDINARY INVESTMENT ADVISERS ENGAGE US TO TACKLE HIGH RISK MATTERS OR BACK OFFICE OPERATIONS, WE ARE HONORED BY THEIR TRUST, AND DELIVER THE INTERDISCIPLINARY PERSPECTIVE THEY HELPED US DEVELOP.  
— Ann Oglanian, ReGroup Managing Partner

 
 
 

Call (415) 681-2230