cuttone. TAC
Technology, Advisory, & Consulting
Specialized services for U.S.-based organizations and international firms operating in U.S. markets. Our team brings decades of experience navigating complex regulatory and operational requirements.
The Industry Challenge
Regulatory requirements change frequently and can make compliance difficult to manage. Organizations face operational and resource challenges as they adapt.
Regulatory Pressure
New rules, frequent examinations and the regulators ever increasing demands increase the cost and workload associated with compliance.
Costly Mistakes
Non-compliance can cost nearly three times as much as compliance when fines, reputational harm, and lost business are included.
Complexity
Managing compliance, supervision, reporting, oversight, and risk controls demands precision, inefficiencies erode margins and distract you from running your business.
Resource Constraints
Small and mid-sized organizations may lack the capacity or specialized expertise required for risk modeling, technology integration, regulatory filings and compliance work.
cuttone. TAC is a specialized technology, advisory and consulting firm serving U.S.-based organizations and international firms who have or are considering U.S. operations. Founded by industry veterans with over 125+ years of combined experience across brokerage, compliance, trading, risk, technology, financial engineering, and audit and business operations.
We help clients turn operational and regulatory demands into strategic advantages. Effective compliance can also support growth.
Our Mission
To empower clients to navigate regulatory complexity and optimize their operations by providing expert, integrated consulting solutions in compliance, trading, risk, and technology.
Our Vision
We envision organizations of all sizes meeting regulatory obligations while improving their operations and pursuing sustainable growth.
Our Promise
Senior expertise across connected service areas, with work focused on compliance confidence, operational efficiency, and business growth.
We are a founder-led firm of industry veterans with firsthand experience as owners and operators. We work directly with client teams to implement practical solutions with results clients can track.
Integrated Expertise
We coordinate work across compliance, risk, operations, and technology. Our team works as an extension of yours to implement connected solutions.
Senior Level Attention
Our consultants are partners in the firm and remain accountable for every engagement. Experienced professionals provide the strategic guidance and implementation support.
Outcome Measurement
We measure success through examination outcomes, regulatory findings, operating efficiency, and related costs. Engagement reporting tracks progress against the agreed objectives.
Flexible Engagement
We tailor our support to your needs, whether it's a quick consult or long-term initiative, on-site or remote. Our model is designed to fit your team and existing workflows.
Compliance & Regulatory
We support organizations in building and maintaining compliance systems, from drafting and updating policies and procedures to designing effective compliance checks and controls. Our team can guide clients through regulatory exams and audits and build systems to ensure accurate, timely reporting.
Trading & Brokerage
We support the full broker-dealer trade lifecycle across share-based and notional-based activity in equities, options, and fixed income. The work includes execution and routing, clearing, post-trade risk, system design, execution protocols, and custom exposure controls.
Financial Engineering & Risk
We model market, credit, and operational risk in real time using VaR, ETL, and high-performance compute for rapid stress testing. Services include liquidity analysis, structured product design, and portfolio construction with hedging strategies.
Audit & Financial Controls
We prepare organizations for regulatory audits, perform mock exams, and strengthen internal controls over compliance and financial reporting. We also support SOC2 and AML reviews.
Services Management & Ops
We design and improve service workflows, implement operating frameworks, and integrate supporting tools. Our work includes change management, KPI-based performance tracking, incident-response planning, scalable SOPs, and team training.
Technology
We assess and update technology environments, including surveillance and reporting platforms, workflow automation, data structures, and system telemetry.
Analytics
We analyze operational, trade, and compliance data to support decisions and scalable oversight.
People Operations
We build and scale people functions for growing organizations, including talent and organizational strategy, performance management, compensation and leveling, engagement and retention, and People/HR operations. A senior people operator adapts the work to the organization's industry, stage, and regulatory requirements. Services are available as projects or fractional Chief People Officer leadership.
Business Strategy
We support organizations with business strategy and growth initiatives, including financial modeling, go-to-market execution, business development, strategic partnerships, and fundraising preparedness.
Every organization has distinct needs, from strategic assessments and hands-on execution to ongoing advisory support. We offer flexible models including retainers, project-based work, and success fee arrangements. Each model includes senior-level involvement, a defined scope, and clear reporting.
Strategic Assessments
- Policy and procedure gap analysis, and executive training sessions.
- Short-term, high-value engagements focused on diagnostics, education, or strategic planning.
- Fixed cost per session or assessment, offer a fast entry point into a longer-term partnership.
Project Based
- From regulatory-reporting remediation to system rollouts and reviews, we get it done.
- Ideal for well-defined initiatives with a clear deliverable and timeline.
- One-time fixed fee or milestone-based pricing tied to project deliverables.
Retainer Advisory
- We can act as your fractional COO, CFO, CCO, CRO, CPO, operations lead, or regulatory advisor.
- Best for firms needing continuous compliance, operations, or risk support.
- Fixed monthly fee with flexible scope based on your ongoing needs.
We are solution oriented and will develop the program to specifically address your issue while considering the timeframe, risk, outcome and expense associated with the project.
Experience Across Regulated Industries
We've worked with broker-dealers, fintech companies, and other regulated organizations across compliance, risk, operations, and technology engagements.
Broker-Dealer Formation & Registration
Trading Technology Implementation
Regulatory Examination Preparation
Domestic and International Market Access
M&A Integration Advisory
125+ Years of Combined Experience
Founding Partner
A dynamic and results-driven executive with extensive experience forming, managing, and operating institutional and retail broker-dealers. He has a proven track record of strategic vision, driving growth, optimizing operations, and fostering innovation. He formerly served as the Head of Trading & Brokerage and Chief Executive Officer at DriveWealth Institutional, and served on the Board of Directors for the NYSE and NYSE National.
Founding Partner
A broker-dealer operator with more than three decades of experience across NYSE floor brokerage, institutional execution, trading operations, supervisory infrastructure, and risk controls. He spent most of his career at Cuttone & Co., later advised DriveWealth Institutional, and brings hands-on knowledge of execution workflows, sales and trading, branch supervision, operational risk, and market-structure technology for regulated financial firms.
Managing Partner
A senior financial, risk, and governance leader widely recognized for strengthening operational integrity and supervisory infrastructure. He has served in senior roles at Goldman Sachs, where he co-led efforts to expand the firm's risk convergence program, and DriveWealth, where he served as Chief Risk Officer. He consistently bridges technical regulatory requirements with practical operating models that build trust and resilience.
Partner, Chief AI & Product Officer
Advises clients on product strategy, AI adoption, and technology transformation, helping teams identify where AI can deliver practical value and turn complex requirements into scalable products and workflows. She brings deep experience across product vision, technical architecture, and AI-native systems, working with clients from strategy and roadmap development through implementation and delivery.
Partner, Head of Business Strategy & Growth
An expert in FinTech go-to-market strategy, corporate development, and strategic investing. He brings extensive experience from Goldman Sachs in Investment Banking and from DriveWealth, where he led M&A and strategic investing. He advises clients on business case development, growth strategy, market expansion, strategic partnerships, and transactions.
Chief of Staff & Chief People Officer
Leads the people function for cuttone. TAC and its clients, helping organizations build and strengthen talent, compensation, performance, HR operations, and workforce strategy. She advises leadership teams on scaling their people function, improving organizational structure, developing policies and processes, and addressing the demands of growth and regulated environments. Brings 15 years of experience across fintech, financial services, and technology, including serving as a fractional Chief People Officer.