Senior SEC Compliance Advisory for Investment Managers
Former SEC examiner advising private equity, hedge fund, and emerging and established asset managers on building compliance programs that withstand regulatory scrutiny and investor diligence.
Services
No Bad Acts LLC's services encompass the full lifecycle of an RIA's compliance program—from initial buildout and regulatory readiness to ongoing oversight and SEC exam support. I advise on governance, conflicts, MNPI controls, regulatory filings, and investor communications, with an emphasis on how compliance functions in practice. The objective is to ensure that programs are not only technically sound, but credible and defensible when tested.
Governance, Conflicts & MNPI Controls
Ongoing Advisory
Investor Due Diligence & ODD Support
Experience on Both Sides of the Table
I began my career as an examiner with the U.S. Securities and Exchange Commission and am a registered attorney, bringing both regulatory and legal perspectives to the evaluation of investment advisers and their compliance programs under real scrutiny.
I have held senior compliance roles at global asset managers, working directly with investment teams, senior management, and boards on the design and implementation of compliance frameworks across a range of strategies and jurisdictions.
This experience—both inside the regulator and within leading investment firms—shapes how I advise clients today.
About Me
Who We Work With
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Private equity and hedge fund managers at various stages of growth
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First-time funds preparing for institutional capital
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Established managers strengthening compliance infrastructure
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Non-U.S. managers expanding into the U.S. regulatory environment
Rigorous.
Practical.
Defensible.
Experienced.
