Wealth management
10 registered investment adviser compliance experts
These ten professionals have worked on registered investment adviser compliance as chief compliance officers at advisory firms and as investment adviser compliance consultants. A reader can learn how practitioners approach registered investment adviser compliance from people who have done the work.
Professionals to explore
01—10Candace Hamilton
LinkedInExperience: Chief Compliance Officer RIA · Euro Pacific Capital
Former Chief Compliance Officer RIA at Euro Pacific Capital in Newport Beach (2009-2015), and earlier Vice President of Operations and Compliance there (2003-2005). She later held compliance roles at Champlain Investment Partners (2015-2022) and has been Chief Compliance Officer at Liberty Group since 2022.
Jack Glasheen
LinkedInExperience: Chief Compliance Officer · Source Financial Advisors
Former Chief Compliance Officer at Source Financial Advisors (2015-2021) and 1949 Value Advisors (2014-2020), and at Nebari Securities (2020-2023). Owner of Glasheen Compliance Consulting since 2015. The profile describes him as an RIA and broker-dealer chief compliance officer and anti-money laundering officer with experience in regulatory examinations.
Joshua Katz
LinkedInExperience: Chief Compliance Officer & Manager of Investment Operations · Affinity Investment Advisors, LLC
Chief Compliance Officer & Manager of Investment Operations at Affinity Investment Advisors since 2013, and Director, Chief Compliance Officer at Rayliant since 2025. The profile describes over 20 years in financial services specializing in SEC-registered investment advisers and ETF compliance across U.S. and Asian markets.
Keith Beck
LinkedInExperience: Chief Compliance Officer, Registered Investment Adviser (RIA), Director of Compliance · Paulson Investment Company, LLC
Former Chief Compliance Officer, Registered Investment Adviser (RIA) and Director of Compliance at Paulson Investment Company (2015-2017), and former Chief Compliance Officer, Registered Investment Adviser at MidAmerica Financial Services and Montecello Registered Investment Advisers (2014-2016). He later served as a compliance and supervision SME at Wells Fargo (2018-2023).
Kimberly Nassar
LinkedInExperience: Senior Principal Consultant, Investment Adviser Compliance · ACA Group
Former Senior Principal Consultant, Investment Adviser Compliance at ACA Group (2019-2021). Chief Compliance Officer at QLS Advisors since 2021 and at Rutherford Energy Ventures since 2026. Earlier roles include Director, Compliance and Compliance Manager at AMG (2011-2019) and Manager, Ethics Office at Fidelity Investments (2009-2011).
Matthew Murray
LinkedInExperience: Chief Compliance Officer · BDO Wealth Advisors, LLC
Former Chief Compliance Officer at BDO Wealth Advisors (2022-2023) and at Sawgrass Asset Management (2022), after a Compliance Officer role at Sawgrass (2015-2021). Chief Compliance Officer at Joot since 2024, where the profile says he provides consulting and advice to SEC registered investment advisers on the Investment Advisers Act of 1940.
Peggy Lebert
LinkedInExperience: Chief Compliance Officer · Avalon Investment & Advisory
Former Chief Compliance Officer at Avalon Investment & Advisory (2012-2020) and former CCO, Principal Operations Officer and Executive Representative at Avalon Wealth Management LLC (2012-2020). Regulatory Compliance Consultant at AlbaSources and Principal of Lebert Consulting since 2020. Former Vice President, Investment Management Division Compliance at Goldman Sachs (2004-2011).
Rick Ohlrich
LinkedInExperience: Chief Compliance Officer · RFG Advisory
Chief Compliance Officer at RFG Advisory since 2022; the profile describes RFG Advisory as a hybrid RIA for independent advisors. Former Chief Compliance Officer at America Group Retirement Strategy Centers (2019-2022) and Center for Wealth Planning (2012-2022), and Managing Principal at Compliance & Operational Support Services (2009-2015).
Robert Molinari
LinkedInExperience: Chief Compliance Officer, RIA · Commonwealth Financial Network
Chief Compliance Officer, RIA at Commonwealth Financial Network since 2025, where he has also been Senior Vice President of Compliance since 2018 and Chief Regulatory Affairs Officer since 2016. Earlier Commonwealth roles include Vice President of Compliance (2013-2017) and Director of Compliance (2010-2013); the headline describes a $200B+ platform.
Stephen Remboski
LinkedInExperience: Chief Compliance Officer · Belmont Capital Group
Former Chief Compliance Officer at Belmont Capital Group (2014-2025), where the profile describes supporting an SEC registered investment adviser compliance program, including designing and implementing its policies and procedures. Former VP GIPS Compliance Consulting at Cairn Investment Performance Consulting (2013-2014).
Choose the right perspective
Match the firm type to your question, since compliance at a large hybrid platform, a small independent adviser and a fund manager each involves different work. Consider whether you want someone who sits inside one firm as its chief compliance officer or someone who has advised several firms as a consultant.
Questions to take into the conversation
- 01How do you decide what goes into an adviser's annual compliance review?
- 02How do you prepare a firm and its staff for a regulatory examination?
- 03Which compliance tasks are most often under-resourced at growing advisory firms?
Reaching registered investment adviser compliance experts
How can I contact one of these registered investment adviser compliance experts?
Pick one of the 10 people on this page and choose "Book a paid call", or describe your project to find others. You offer a fee for a 15-minute call or a written answer, Instant Expert finds the person's work email and sends the invitation, and they decide whether to accept. The list covers 10 companies, including Euro Pacific Capital; Source Financial Advisors and Affinity Investment Advisors, LLC, based on profile data retrieved on October 9, 2026. Being listed here doesn't mean someone has agreed to take calls.
How much does it cost to reach registered investment adviser compliance experts?
You choose the offer, starting at $5 per person. It includes Instant Expert's 20% fee, so an offer that pays the person $100 costs you $125. You're charged only when the person books the call or sends the answer.
What if they don't reply?
You pay nothing. Instant Expert sends follow-up reminders, and if the person hasn't booked or answered within 7 days, the request expires and any hold on your card is released. You can invite several of the 10 people on this list at once and cap your total spend, so you pay only for the ones who accept.
Can an AI agent ask one of these registered investment adviser compliance experts a question?
Yes. An agent with a USDC wallet on Base can ask one question without an Instant Expert account. It names the person, for example by the LinkedIn URL on this page, and pays per ask over x402 (HTTP 402). The person answers in writing or by voice note, and if nobody answers within 7 days, the payment goes back to the wallet automatically. x402 docs
About this directory
This is a professional research starting point based on business profile data retrieved on . Titles and companies reflect that source snapshot and may describe past or present roles. Check the linked profiles for current details. Inclusion does not imply Instant Expert membership or availability.
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