2025, 8a Holly Orefice 5/4/23 2025, 8a Holly Orefice 5/4/23 Pam Gelormini Director of Compliance, Privacy OfficerMFS Investment Management Read More 7f, 2025 Holly Orefice 5/4/23 7f, 2025 Holly Orefice 5/4/23 Anh Lam Chief Compliance Officer and Senior Vice President Sandy Spring Bank Read More 2025, 4b Holly Orefice 5/3/23 2025, 4b Holly Orefice 5/3/23 James Clements Chief Compliance OfficerCarson Group Read More 2025, 2c Holly Orefice 5/2/23 2025, 2c Holly Orefice 5/2/23 Murtaza Sardharwala Deputy Chief Compliance OfficerJasper Ridge Partners Read More 2025, 7a Holly Orefice 5/1/23 2025, 7a Holly Orefice 5/1/23 Patrick Hayes Chair, Investment ManagementCalfee Halter & Griswold LLP Read More 2025, 8e Holly Orefice 4/29/23 2025, 8e Holly Orefice 4/29/23 Matt Calabro Executive Director, Compliance Services Confluence Read More 7b, 2025 Holly Orefice 4/28/23 7b, 2025 Holly Orefice 4/28/23 Jonathan Forman PartnerBaker & Hostetler LLP Read More 2025, 9d Holly Orefice 4/26/23 2025, 9d Holly Orefice 4/26/23 Joe McDermott Chief Compliance Officer & Chief Risk OfficerCuri RMB Capital Read More 4c, 2025 Holly Orefice 4/26/23 4c, 2025 Holly Orefice 4/26/23 Maureen Kiefer-Goldenberg Senior Vice President, Compliance Mariner Wealth Advisors Read More 2025, 9b Holly Orefice 4/26/23 2025, 9b Holly Orefice 4/26/23 Jim Papagiannis Chief Compliance OfficerInspereX Holdings LLC Read More 8d, 2025 Holly Orefice 4/26/23 8d, 2025 Holly Orefice 4/26/23 Josh Jones Chief Compliance Officer Vulcan Value Partners Read More 2025, 7f Holly Orefice 4/25/23 2025, 7f Holly Orefice 4/25/23 Jonathan (Jon) Wowak, CPA DirectorGryphon Compliance Services Read More 6d, 2025 Holly Orefice 4/21/23 6d, 2025 Holly Orefice 4/21/23 Tito Pombra Founder and President Adviser Compliance Consulting Inc. Read More 5d, 2025 Holly Orefice 4/21/23 5d, 2025 Holly Orefice 4/21/23 Genna Garver PartnerTroutman Pepper Read More 2025, 2d Holly Orefice 4/20/23 2025, 2d Holly Orefice 4/20/23 Jeff Himstreet VP and Senior CounselManaged Funds Association Read More 2025, 3e Holly Orefice 4/20/23 2025, 3e Holly Orefice 4/20/23 Richard Szuch ShareholderStevens & Lee Read More 2025, 9a Holly Orefice 4/20/23 2025, 9a Holly Orefice 4/20/23 Paul Osterberg Managing DirectorSecurity Basecamp Read More 2025, 3f Holly Orefice 4/19/23 2025, 3f Holly Orefice 4/19/23 Korrine Kohm Managing DirectorAltPILOT Read More 2025, 1c Holly Orefice 4/19/23 2025, 1c Holly Orefice 4/19/23 Jane Riley Vice President and Chief Compliance Officer The Leaders Group, Inc. and TLG Advisors, Inc. Read More 2025, 1e Holly Orefice 4/18/23 2025, 1e Holly Orefice 4/18/23 Brian Woldow Chief Compliance OfficerBetterment Read More Newer Posts Older Posts
2025, 8a Holly Orefice 5/4/23 2025, 8a Holly Orefice 5/4/23 Pam Gelormini Director of Compliance, Privacy OfficerMFS Investment Management Read More
7f, 2025 Holly Orefice 5/4/23 7f, 2025 Holly Orefice 5/4/23 Anh Lam Chief Compliance Officer and Senior Vice President Sandy Spring Bank Read More
2025, 4b Holly Orefice 5/3/23 2025, 4b Holly Orefice 5/3/23 James Clements Chief Compliance OfficerCarson Group Read More
2025, 2c Holly Orefice 5/2/23 2025, 2c Holly Orefice 5/2/23 Murtaza Sardharwala Deputy Chief Compliance OfficerJasper Ridge Partners Read More
2025, 7a Holly Orefice 5/1/23 2025, 7a Holly Orefice 5/1/23 Patrick Hayes Chair, Investment ManagementCalfee Halter & Griswold LLP Read More
2025, 8e Holly Orefice 4/29/23 2025, 8e Holly Orefice 4/29/23 Matt Calabro Executive Director, Compliance Services Confluence Read More
7b, 2025 Holly Orefice 4/28/23 7b, 2025 Holly Orefice 4/28/23 Jonathan Forman PartnerBaker & Hostetler LLP Read More
2025, 9d Holly Orefice 4/26/23 2025, 9d Holly Orefice 4/26/23 Joe McDermott Chief Compliance Officer & Chief Risk OfficerCuri RMB Capital Read More
4c, 2025 Holly Orefice 4/26/23 4c, 2025 Holly Orefice 4/26/23 Maureen Kiefer-Goldenberg Senior Vice President, Compliance Mariner Wealth Advisors Read More
2025, 9b Holly Orefice 4/26/23 2025, 9b Holly Orefice 4/26/23 Jim Papagiannis Chief Compliance OfficerInspereX Holdings LLC Read More
8d, 2025 Holly Orefice 4/26/23 8d, 2025 Holly Orefice 4/26/23 Josh Jones Chief Compliance Officer Vulcan Value Partners Read More
2025, 7f Holly Orefice 4/25/23 2025, 7f Holly Orefice 4/25/23 Jonathan (Jon) Wowak, CPA DirectorGryphon Compliance Services Read More
6d, 2025 Holly Orefice 4/21/23 6d, 2025 Holly Orefice 4/21/23 Tito Pombra Founder and President Adviser Compliance Consulting Inc. Read More
5d, 2025 Holly Orefice 4/21/23 5d, 2025 Holly Orefice 4/21/23 Genna Garver PartnerTroutman Pepper Read More
2025, 2d Holly Orefice 4/20/23 2025, 2d Holly Orefice 4/20/23 Jeff Himstreet VP and Senior CounselManaged Funds Association Read More
2025, 3e Holly Orefice 4/20/23 2025, 3e Holly Orefice 4/20/23 Richard Szuch ShareholderStevens & Lee Read More
2025, 9a Holly Orefice 4/20/23 2025, 9a Holly Orefice 4/20/23 Paul Osterberg Managing DirectorSecurity Basecamp Read More
2025, 3f Holly Orefice 4/19/23 2025, 3f Holly Orefice 4/19/23 Korrine Kohm Managing DirectorAltPILOT Read More
2025, 1c Holly Orefice 4/19/23 2025, 1c Holly Orefice 4/19/23 Jane Riley Vice President and Chief Compliance Officer The Leaders Group, Inc. and TLG Advisors, Inc. Read More
2025, 1e Holly Orefice 4/18/23 2025, 1e Holly Orefice 4/18/23 Brian Woldow Chief Compliance OfficerBetterment Read More