Began as consultant and moved into management role. Assisted in the roll-up and management of two Asset Management Platforms, a B/D, two traditional RIAs and 10 private investment pools, at the same time launching a SEC registered HFoF manager and CPO, an insurance agency, and 4 HFoF. Responsibilities included compliance development and implementation, branch and financial audits, continuing education, FOCUS review, advertising and correspondence review and approval, firm supervision, APL model management, trading and reconciliation, HFoF development and launch, new product implementation, money manager negotiations and implementation and transition development and execution for new reps.