Dan has 13 years of investment industry experience in the areas of compliance, finance and audit. He leads client engagements involving adviser and fund regulatory compliance matters, including CCO support, compliance program development, annual review, gap analysis, SEC mock exams, risk assessment, testing, SEC examination preparation and service provider due diligence. Clients include institutional advisers, wealth managers, private funds and investment companies across a variety of asset classes and investment strategies. Dan leads Vista360’s consulting process team, consulting education and research functions.
Other experience includes:
Assurance Senior Associate at PricewaterhouseCoopers LLP, supervising audits of mutual funds, private funds and investment advisers
Financial audits as well as controls audits of fund service providers
Education & Affiliations:
Bachelor of Business Administration (accounting) degree from St. Norbert College
Boy Scouts of America Eagle Scout
Development Committee Member of Bloom360 Learning Community