Outsourced Chief Financial Officer.

Responsible for overseeing the compliance program for the firm. Develop and administer Policies and Procedures which are designed to prevent violations of the federal securities laws. Using a risk-based approach, conduct ongoing reviews and surveillance to evaluate and test for compliance with the Policies and Procedures and maintain a Calendar evidencing these reviews. Revise and file as needed the ADV parts 1, 2A, 2B, Form CRS, and submit the Annual Updating Amendment. Update the Firm’s Code of Ethics, including oversight of employee personal trading. Serve as the primary contact for coordinating regulatory inquiries and examinations. Provide compliance training to new employees and coordinate periodic training to all employees. Conduct due diligence on all new prospective vendors and ongoing due diligence on all current vendors. Prepare and submit an Annual Compliance Program Review for the firm to report on the adequacy and effectiveness of the Program, including suggestions for improvement, to the Executive Committee. Perform internet searches on supervised persons to search for unreported outside business activities. Coordinate review of all marketing material and communications, including email surveillance, to ensure consistency with applicable regulations.

Responsible for supervising fifty-six advisers and nineteen field OSJ’s.

During this time, we provided accounting consulting to over forty different companies and, in many cases, acted as the firms' entire accounting department, controller, or CFO. (Sold the firm in January 2012)