Founder and Managing Partner
I was introduced to RIA regulatory compliance when I accepted a position as a Financial Examiner with the Texas State Securities Board Inspection and Compliance Division in 2006. During my tenure at the Texas State Securities Board, I conducted routine and for-cause examinations for registered investment advisory firms across the state of Texas.
In 2011, my wife and I welcomed a new addition to our family, our daughter Noelle. Although I enjoyed my time as a Financial Examiner, my travel schedule began to take a toll on my family, so in 2013 I decided to take a consultant position for a local compliance consulting firm. As a consultant, I increased my exposure to all aspects of RIA compliance. I assisted in new RIA registrations, and on-going compliance support for numerous state and SEC-registered investment advisory firms nationwide. I also offered guidance to clients seeking help with registrations with the National Future Association and state insurance regulatory agencies.
After some soul searching and with the support of my friends and family, I decided to embrace my entrepreneurial spirit and launched RIA Compliance Concepts. I founded RIA Compliance Concepts with the sole purpose of helping customers navigate through the ever-changing RIA regulatory compliance environment while offering effective and cost-efficient compliance solutions to registered investment advisory firms.
My career in the financial services industry started while I was attending Texas State University. As I was studying finance, I worked part-time at for a small BD/RIA branch office providing office and client support services.
I accepted a position as an examiner in the Registration Division of the Texas State Securities Board in 2006, around the same time Ivan joined the Securities Board. It was during this time of learning the regulatory ropes, myself in registration and he in compliance, that we became good friends. As a registration examiner, I reviewed and approved scores of investment adviser and broker-dealer applications for firms seeking registration in Texas. While at the Securities Board, I saw my position, not as one in which I aimed to find as many deficiencies as possible but one in which I could help new firms start their RIA and BD businesses in compliance with the law.
After nearly nine years as a regulator and ready for a new challenge both personally and professionally, I joined Ivan at a local compliance consulting firm. Becoming a registration and compliance consultant allowed me to substantially increase my knowledge regarding the RIA registration process across the various states and with the SEC. As time went by, I began managing the RIA registration process within the consulting firm and started providing on-going compliance support for our clients.
Ivan and I have been friends since my days at the Texas State Securities Board. We worked together for years, until I decided to go work for FINRA and move my family up to Dallas. That was a great experience until the SEC called me up out of the blue. I accepted their offer, jumping at the chance to get back into Investment Adviser compliance.
After a time with the SEC, the private sector beckoned. Leaving the government was a great move for me. Years of experience and hundreds of clients later, I can bring my extensive regulatory knowledge to the table. Unlike most consultants, I know what a regulator is looking for when they walk into your office. The biggest driver of my career has been helping people navigate the confusing world of regulatory compliance. Their looks of frustration and nervousness disappear once they understand I can help. That’s why it’s always important that I go the extra step and build a relationship of trust with my clients.
I’ve always loved learning new things and recently obtained my Salesforce CRM certification. From experience, I noticed that several clients had hardly used, expensive CRM programs. These programs were so poorly organized that they couldn’t be used to their full capability—so they weren’t. Using several different programs in various offices, I unintentionally began helping clients structure their CRM programs. So, it was “no-brainer” to train myself in the CRM environment.
I seek new experiences in my personal life too. I’m always trying new recipes in the kitchen or traveling to a new destination. (I recently visited my 50th state.) If I am not traveling or cooking, I’m usually busy making my kids’ eyes roll at my dad humor. My most important job is being the best dad I can be.
In 2015, I graduated with a degree in curriculum and instruction from Texas State University. After a few years in the education industry, I decided to switch gears. I started working with Ivan as a Regulatory Compliance Analyst for an insurance education and research company two years ago. That’s when I was first introduced to the compliance industry. I found that I was able to directly apply the organization and communication skills I acquired through my prior work as a teacher to the compliance field. Ivan showed me the ropes of the industry, and when he started his own business and reached out to me, I was excited about this new challenge.
I look forward to continuing my path in compliance and helping our clients with their compliance needs. I love learning new things, and when I’m not in the office behind a computer, I enjoy traveling as much as possible and teaching yoga.
In 2018, I graduated with a Bachelors's degree in Finance from the University of Louisiana at Monroe. Shortly after my graduation, I accepted a job in the great state of Texas, working as a Financial Examiner for the Texas State Securities Board out of the Dallas branch office. I first met Ivan while I was conducting an Investment Advisor examination on one of his clients. After nearly a year of working with the Texas State Securities Board, I decided to broaden my experience with taking a job in corporate finance. Although I decided to depart from the TSSB, I couldn't help but develop an interest and passion for regulatory compliance, which is why I reached out to Ivan about being apart of the team.
Over the years, I have developed a strong passion for finance, having experience in banking, consumer finance, investments, and now corporate finance. Currently, I am attending Louisiana State University at Shreveport, where I will obtain an M.B.A degree in May of 2020. Also, I am recently engaged to my girlfriend of six years and love traveling, sports, and fishing, along with experiencing new things and creating new opportunities.
I look forward to continuing and expanding my knowledge in compliance while ensuring that all of our clients' compliance needs are met.