John leverages his expertise in financial services, compliance and advisory, having worked with a wide range of clients in the investment management industry. Before joining Kroll, John was a partner at ACA/Foreside, where he designed compliance solutions for private fund advisers, wealth management firms and broker-dealers. He has also held senior-level positions at Ameriprise, Cole Capital and Thrivent Financial.
John has significant experience leading SEC and FINRA examinations and is knowledgeable in various investment products, including private equity, private credit and real estate funds, as well as registered investment companies and retail asset management products.
John holds bachelor’s and master’s degrees in industrial engineering from Arizona State University. He also holds FINRA Series 7 and 24 licenses. John frequently speaks at industry events and is often featured in financial services publications.
