John has over 44 years of asset management industry experience, with an emphasis on regulatory compliance issues. John’s regulatory compliance background includes 13 years of public accounting experience at Deloitte’s New York practice office and heading the investment management consulting practice of Navigant Consulting, a leading international forensic and litigation support consulting firm, during the implementation timeframe of Rules 206(4)-7 of the Investment Advisers Act and 38a-1 of the Investment Company Act which have imposed significant compliance requirements on the Investment Advisor and Investment Company industries. John’s experience includes CEO roles at two mutual fund complexes, and he led MetLife’s mutual fund distribution company. John also served as CEO of Registered Investment Advisor firms serving the needs of retail, institutional, and investment company clients.
John currently serves on the Board of a mutual fund complex, and three technology companies.
Peter has more than 35 years of investment adviser, mutual fund, private fund as well as broker-dealer experience developed from management, chief compliance officer and general counsel roles at asset managers, broker-dealers, industry service providers, and compliance consultancies. He is the co-founder of Compliance4, a compliance consulting firm based in Portland, Maine. Peter provides compliance services to investment advisers, registered investment companies, ETFs, BDCs and private investment funds. Services include outsourced Fund or Adviser CCO or Deputy CCO services, compliance infrastructure set-up and SEC registration, conducting annual compliance program reviews and testing, developing risk assessments, overseeing mock SEC exams or preparing clients for scheduled SEC examinations and conducting specialized due diligence reviews and preparing findings reports regarding advisers being considered for acquisition.
Peter received his J.D. from Suffolk University Law School in Boston and his B.A. from Rutgers University. He lives in Maine with his wife, author Elizabeth Hamilton-Guarino and their four boys.