Carl Rizzo Email & Phone Number

Extensive in-house counseling and retained consulting (initial registration; SEC "mock audit"; live inspection preparation and support) experience regarding the everyday operations and regulatory compliance concerns of SEC registered asset managers. Experience working with a broad array of investment products, services and distribution channels including: publicly-offered open- and closed-end investment companies, business development companies and variable insurance products; privately-offered structured finance / hedge / private equity / private credit / infrastructure / real estate and commodity interest funds; as well as institutional, high net worth, wrap and other retail separately managed account programs. Chief Compliance Officer -- currently, for 2 exchange listed BDCs; previously, for a $110b AUM global institutional fixed income manager and a $1.4b AUM special situation PE manager.Specialties: Operational compliance program design, implementation and assessment regarding a wide variety of SEC registered and registration-exempt investment manager types.