David Hess, MBA
Senior Consultant
Mr Hess has been involved with the regulatory issues faced by investment advisers, investment companies, and broker-dealers for 25 years. His regulatory experience as an examiner for both FINRA and the SEC (Investment Adviser/Company branch) bring a unique perspective. At the SEC he examined the largest advisers and investment companies in the San Francisco district.
In addition to his regulatory experience, he has worked for years directly with the industry in various strategic positions such as Director of Mutual Fund Compliance, Director of Advisory Compliance, and Chief Compliance Officer of an investment adviser/broker-dealer. Mr. Hess received his MBA from Texas Christian University in Fort Worth Texas. He also holds several FINRA licenses.