E. Aaron Cartwright Iii Email & Phone Number

1309B W. Abram St #200, Arlington, Texas 76013

Fort Worth, Texas

Plano, Tx

• Design and develop risk and compliance functions for new Regulation CF offering line of business.• Review and reorganize compliance information documentation process for ongoing and future offerings.• Audit prior Regulation D offerings for compliance with FINRA and SEC rules.

Dallas/Fort Worth Area

• Assist in launch of private equity and hedge funds including filing of Forms: D, ID, ADV, SAA, SS4, etc.• Create and revise hedge fund & private equity compliance manuals. Review and analyze policies and procedures in fund companies’ compliance program and train fund employees on programs. Monitor and test compliance.• Investment Advisor/Representative registration analysis.• Aid in development of methods to efficiently monitor status of firm filings.• Support initiation of cybersecurity offering and initial client cybersecurity examinations.• Draft memorandum to answer internal and external questions regarding securities, domestic, and international jurisdictions (currently: UK, India, Mauritius).

Bryan/College Station, Texas Area

• Gained understanding of export compliance regulatory environment including International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), related United States Munitions List (USML), and Commerce Control List (CCL).• Create a process to monitor compliance efforts at the department level.• Revised and updated Export Compliance manual to reflect current laws and regulations.• Observed oversight committee meetings of multiple disciplines.

Healthcare industry. Baylor Health Texas, Valence Health, Alcon Novartis. Develop and manage related tools (Cegedim, Concur, StarCite, AST, ShowCase, Excel, etc.) which provide automation and processes to enable the aggregating, monitoring, corrective action, and external reporting for Sunshine Act/Open Payments. Validate spend data to ensure data integrity, determine trends and exceptions, identify and resolve issues. Gather supporting documentation as needed. Wrote SOPs.Key Contributions• Created and maintained dashboards enabling management to deliver more effective summaries.• Automated identification of $1.3M in Affordable Care Act related refunds and save $200,000 in mistaken refunds for Valence Health. • Identify $300,000+ in missed contractually obligated physician payments.• Extract all aspects of compensation data from contracts of 700+ physicians for compensation department.

• Review FINRA, SEC ’34, MSRB, FRB, & OCC (et al) Rules for compliance in Debt/Equity products, Corporate Finance, and Capital Markets lines of business.

• Dissect compensation package of an alleged pyramid scheme to present clear meaning to investigating attorneys.• Draft summary of the year-end statement of a publicly traded company to formulate interrogatories and document requests in a Civil Investigative Demand.• Research and draft memorandum on a product being investigated under Deceptive Trade Practices Act for misrepresentation in advertising and labeling.• Draft memorandum on Federal Rule of Evidence 615(c) and its application to Federal investigators.

Carrollton, Texas

Handle all aspects of monthly close process for the Buildings Americas division: Pulling data, uploading, variance analysis, balance sheet adjustments, profit/loss statements, etc. ($480M in annual revenue). Consolidate sales, revenue, and profit/loss from branches across the U.S. and Canada for submission to corporate in France. Provide accurate reporting for nine business activities on a monthly, quarterly, annual, and ad hoc basis. Investigate and explain nonstandard financial variance to management including gross margin KPI. Identify trends in business. Establish relationships and interact with finance team in France to assist in reporting and analysis on their time schedule.Key Contributions• Support budgeting, income and cost forecasting, and variance analysis for Buildings Americas, North America Marketing and Communication (MARCOM), and IPO (Internal IT) business divisions. • Manage the financial reporting efforts of four analysts in the NA regions by communicating changes in reporting, potential impact; accepting responsibility for accuracy of work product.• Led an initiative to gain visibility into IPO expense allocation to all cost centers.• Ended 2013 within $200K of a $60M IPO forecast.• Established process for tracking, gaining approval for, and identifying the impact of annual restatements.• Established controls to increase accuracy and visibility into the monthly reporting.• Create training materials for all position duties.• Assisted in decreasing mandatory monthly reporting time by 50%.

Researched and analyzed cost and pricing issues to determine root cause. Researched accounting issues for compliance with AutoNation standard practices. Ensured data and reporting needs were met by reviewing Exception Reports.Key Contributions• Maintained a high (98%) accuracy on payment processing, warranty registrations, and revisions.

Qualified potential acquisitions based on total enterprise value, EBITDA, profitability, and capital expenditure.Key Contributions• Built the database used to contain and cross reference deal information.

Analyzed client business for potential cost savings and efficiencies. Created detailed models for cost/benefit analysis. Key Contributions• Modeled a comparable companies analysis for acquisition totaling $3M.

Juris Doctor (J.D.)

Activities and Societies: Alternative Dispute Resolution, Mock Trial

Bachelor, Financial Economics

Activities and Societies: Alpha Kappa Psi