Kelly Viergutz

Consultant

I thoroughly enjoy building relationships with clients and collaborating with them to attain compliance solutions that fit their business. My passion lies in helping others achieve their goals while simultaneously expanding my knowledge of the ever-changing regulatory investment field.

Kelly advises Vista360 investment adviser and fund clients on regulatory compliance matters, including CCO support, compliance program development, annual review, risk assessment, testing, marketing review, 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.

Kelly joined Vista360 in 2020 and brings with her 14 years of investment industry experience in the areas of investment adviser and mutual fund compliance. Prior to Vista360, she worked for Heartland Advisors, Inc., an SEC-registered investment adviser, and most recently for Quasar Distributors, LLC, a limited purpose broker-dealer.

Kelly obtained her Bachelor of Science degree in Business Administration from Illinois State University. She previously held several FINRA licenses, including the Series 6, 7 26 & 63. Kelly serves as a Planning Committee Member for the Walk to End Alzheimer’s in Rockford, IL and also serves as a Development Committee Member of Bloom360 Learning Community, a non-profit private school serving children with neuro-diverse needs.