Our Executive Team
Our experienced compliance team understands your business.
Our leadership team brings decades of experience working with Investment Advisers, Broker-Dealers, Hedge Funds, and Insurance Companies across the globe.
Founding Member and Chief Operating Officer
Cathy brings over 35 years of compliance and supervisory expertise in independent broker-dealers, wire-house broker/dealers, insurance-owned broker/dealers, hedge funds and private equity funds, and registered investment advisers. Cathy has served as the Chief Compliance Officer for multiple M&A broker/dealers. In addition, she served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer, and RIA. She is frequently asked to speak and serve as a subject matter expert at compliance conferences across the country.
Cathy has a Masters of Business Management degree. She is a Board member of IAdCA, a member of the Association of Compliance Professionals, a member of the National Society of Compliance Professionals, and a member of Compliance and AML Professionals. She has the FINRA Series 7, 24, 26, 63, and Life and Health licenses.
Founding Member and Chief Executive Officer
Stephen brings a wealth of experience developing mission-critical software applications for the financial services industry. With over 27 years of experience in software sales and development, sales management, marketing, and operations, Stephen’s consultative approach is well-suited to working with firms of all types and sizes.
Stephen served as Director of Application Engineering at NFP Securities where he led a team of developers to create custom software for the broker/dealer and RIA. Stephen was the Managing Director of Operations for Perficient, Inc., a public company with 220 consultants. He is an entrepreneur who has owned several successful start-ups and has vast experience in project management and client relationship-building. He is also well-versed in the latest cutting-edge technology in the financial industry.
Stephen has a Masters of Business Administration degree. He is a member of the National Society of Compliance Professionals; a former member of the Project Management Institute; has both Microsoft and IBM technical certifications, and formerly held a FINRA Series 7.
Founding Member and Chief Technology Officer
Rick has over 30 years of experience leading enterprise software development and commercial software initiatives. Most recently, Rick was the Director of Hadoop/Big Data Solutions for Dell. Prior to that, was a part of the senior management team of IBM’s Infosphere/MDM business unit where he helped lead the integration of Initiate’s MDM product into IBM’s portfolio. Before that, Rick was a Director of Software Engineering for Initiate Systems, which became the leading provider of master data management (MDM) solutions for the healthcare, government, enterprise, and financial services industries (Initiate Systems was acquired by IBM in 2010). Rick also served as a consulting technical architect at Sony Pictures Entertainment, where he led the technical implementation of a large-scale global application that handled all of Sony’s global rights asset management. Prior to that, Rick was a Managing Consultant for Computing Information Services, which was a leading best-of-breed vendor of ERP software for the publishing industry.
Rick is a patent holder and holds a Bachelor of Science (BS) Degree with Honors in Computing Information Systems from the DeVry Institute of Technology. He also holds Master of Science (MS) degree in Engineering Management from the SMU Lyle School of Engineering with a secondary emphasis in Operations Research and Mathematics. Additionally, Rick holds a management certification from the McCombs School of Business at the University of Texas at Austin.