Capping Alternative Investments: What Every RIA Should Know
In our latest Compliance Tip of the Week, Sam Carter, Director of Registration and Compliance at Advisor Guidance, walks through why setting a cap…
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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.
6 articles
In our latest Compliance Tip of the Week, Sam Carter, Director of Registration and Compliance at Advisor Guidance, walks through why setting a cap…
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Going independent is one of the most rewarding moves an advisor can make. The benefits of going independent are clear: control over your advice,…
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One of the most common questions we receive from advisors during the initial registration process is simple: Do I need to have a custodian…
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Employee Agreements and Non-Competes: What Investment Advisors Should Know Before Starting an RIA Firm As momentum behind the RIA model continues to accelerate, next-generation…
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The Importance of Building a Rock-Solid Compliance Program for Your RIA Firm Since going into effect in the early 20th century, the state and…
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Thinking About Starting Your Own RIA Firm? If you are thinking about starting your own RIA firm, you are probably in the process of…
Read articleJohn 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.