Brian jointly leads Bovill’s Chicago team with Ross Goffi. He helps investment advisers and broker-dealers with regulatory matters ranging from registration and authorisation to ongoing regulatory obligations to wind down or acquisition.
His experience includes the creation of new advisory businesses, along with the formation and registration with appropriate regulatory authorities, development of compliance policies and procedures, performing compliance reviews, and counselling clients on compliance with the Investment Advisers Act, the Securities and Exchange Act and FINRA Rules.
Before joining Bovill, Brian worked at Duff & Phelps and ACA Compliance Group. Brian worked with a number of Investment Advisors establishing compliance programs, identifying and addressing risks and conflicts, conducting mock regulatory examinations and assisting with regulatory examinations and inquiries.
Brian worked at the U.S. Securities and Exchange Commission in the Office of Compliance Inspections and Examinations. Throughout his time at the SEC in Chicago he participated in examinations of a wide variety of registered entities including hedge funds, investment advisers and jointly registered investment advisers. Prior to joining the SEC, Brian was a senior compliance examiner at the Financial Industry Regulatory Authority (FINRA).
Brian received a Bachelor of Science degree in Accounting from Iowa State University.