We offer no obligation consultations. Learn more at http://fidatowealth.com/Fidato Wealth provides comprehensive financial planning for you and your family. Our evidence-based approach will support your retirement goals, helping you invest with confidence and take control of your financial plan.At Fidato Wealth, we aim to provide the very best in financial planning and wealth management. We build plans based on your unique profile and circumstances, recommending only strategies that we ourselves would employ if in the same situation.Our mission is to use our 50+ years of combined experience to create a positive difference in our clients'​ retirement years. When you partner with Fidato Wealth, we provide individualized, effective plans for today and tomorrow.

Served as Chief Compliance Officer & Operations Manager from May 2014 to December 2015. Continued to serve as Chief Compliance Officer from December 2015 to Present with additional Firm Operations responsibilities. Promoted to Chief Operating Officer & became a Partner in 2016.

•Manage a team of compliance associates while acting as the lead compliance contact for the firm’s Chicago office•Coordinate the completion of the firm’s annual compliance assessment as required under Rules 206(4)-7 of the Investment Advisers Act of 1940 and 38a-1 of the Investment Company Act of 1940 (“’40 Act”)•Prepare monthly, quarterly, and annual compliance reports for several ’40 Act sub-advised clients•Responsible for the accurate filing and monitoring of security holdings data as required under Section 13 of the Securities Exchange Act of 1934 and the Bank Holding Company Act of 1956 •Complete due diligence/KYC reviews during client on-boarding for clients with assets exceeding a billion dollars under management, as well as daily anti-money laundering assessments•Assist the firm’s general counsel with the search, extraction, and review of electronic mail for internal investigations and litigation discovery•Perform annual reviews of the Chicago office of supervisory jurisdiction for the firm’s affiliated broker-dealer and conduct training of its FINRA registered representatives

•Conducted numerous specialized and cause examinations at the Nation’s largest financial institutions, including market manipulations of micro-capitalization stocks, fee-in-lieu of commission programs, and pay to play schemes •Developed a detailed body of evidence from information gathered on an examination that was used to obtain a guilty plea from a key culprit in a political pay to play scandal •Led financial and sales practice examinations of NYSE, NASD, and other member broker-dealers and transfer agents to determine compliance with the rules and regulations of the Securities Act of 1933, Securities Exchange Act of 1934, and self-regulatory organizations •Prepared written reports and schedules documenting examination results and deficiencies