I’m most passionate about the relationships I get to build with clients, both as professionals and as people. I enjoy and get satisfaction from understanding my clients’ businesses and goals, helping them solve their challenges and helping new CCOs or compliance officers develop their own personal knowledge. I’m naturally drawn toward complexity. I am energized by attacking complex problems or client goals and digging into research. The current regulatory environment for SEC-registered advisers and funds is as challenging as ever. I enjoy analyzing the new and amended rules, helping our team and clients get up to speed and figuring out how to best implement policies and practices to ensure our clients’ success.
Dan leads client engagements involving adviser and fund regulatory compliance matters, including CCO support, compliance program development, annual reviews, gap analyses, 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.
Dan has 17 years of investment industry experience in the areas of compliance, finance and audit and has been a partner of the firm since 2015. Prior to joining Vista360 in 2012, Dan was an auditor for PricewaterhouseCoopers LLP’s investment management practice, supervising financial statement and controls audits of mutual funds, private funds and investment advisers and their service providers.
Dan earned a Bachelor of Business Administration (accounting) degree from St. Norbert College and is a Boy Scouts of America Eagle Scout. Dan also serves as a Development Committee Member of Bloom360 Learning Community, a non-profit private school serving neurodivergent children and young adults.