Heron Intelligence, fka Blue Heron Research, is a qualitative due diligence firm providing investigative research to institutional investors. Our work might be thought of as "Private Journalism." Heron Intelligence delivers investigative research to institutional investors through professional services, AI tools, and subscription library (DaaS). I oversee the compliance program aligned with SEC RIA requirements, create and test policies, conduct employee training, assess risk, and manage client diligence reviews. Responsibilities also include supporting business development, contracting, cybersecurity & data privacy (GDPR, CCPA, FCRA), and leading a team of 10+. Additionally, I drive AI initiatives around defamation and MNPI risk and contribute to AI thought leadership. ⮚ Negotiated 300+ client agreements to support 300% revenue growth ⮚ Managed 200+ (30+/yr) diligence reviews from institutional investors ⮚ Adapted Compliance as a quality-assurance function supporting multiple departments resulting in reduction in errors through workflows, training and oversight ⮚ Perform internal investigations, risk assessments, security audits, and annual compliance reviews ⮚ Streamlined compliance elements of the research process to support growth in staff and sales ⮚ Provide daily support to project teams, department heads, company leadership. Handle internal escalations, client inquiries, support regulatory inquiries, conduct post-mortems, draft client facing and internal policy materials; resolve conflicts & problems, review marketing materials. ⮚ Conducted internal analysis to quantify the "Value of Blue Heron's Findings." Blue Heron’s significant negative findings correlate to the stocks of those companies substantially underperforming the S&P 500 over 1, 2 and 3 year time horizons. ⮚ Leading efforts to develop AI tools to scale compliance processes

Cross Shore is an RIA with private and registered fund-of-funds offerings. Number two professional in operations. Day-to-day responsibility for operations and compliance policies & procedures. Designed and performed compliance testing. Reviewed marketing materials. Upgraded infrastructure to institutional grade cloud-based IT. Oversight of cybersecurity, risk assessment, training, systems & controls. Led operational due diligence reviews of all portfolio investments with Investment Committee veto power. Compliance: > Led the firm through a regulatory examination (SEC) in 2017 covering the firm's 10 vehicles (onshore/offshore funds, private & registered funds, fund of funds and private equity). > Maintained firm compliance with securities law and regulations (SEC, CFTC, FINRA incl. AML/KYC) > Managed regulatory filings e.g. Form ADV, Form PF, Section 16, Form D, FBAR, CFTC/CPO, 40-Act > Designed and monitored internal controls and testing; performed internal risk assessments Operations: > Managed analysts, indirect reports and all service providers and vendors; all RFPs/DDQs > Produced and delivered internal reporting and represented Adviser to fund Board of Directors > Performed internal surveillance on employee trading and communications > Migrated IT infrastructure to a cloud-based environment and implemented cybersecurity program resulting in no operational downtime during Hurricane Sandy > Launched several products including a '40 Act fund (RIC), private long/short fund, and two private equity funds. Wound down two private funds. Collapsed a master/feeder to reduce expense ratio Operational Due Diligence: > Accurately identified operational risks and redeemed such managers resulting in no performance or fund failures resulting from operational concerns > Avoided at least five managers that subsequently experienced adverse events due to operational problems; never had to employ formal veto > Navigated investor due diligence reviews

Technology company with a SAAS platform enabling business customers to create purpose-driven merchant/customer communities. Provide guidance and counsel to the CEO on corporate governance, administration, compensation, capital structure, fundraising, growth, and general management. -Restructured CEO's compensation, enhanced corporate governance, implemented Board structure -Converted business from an LLC to a C-Corporation and engaged new accountants and counsel -Led a capital raise between Jan and April 2020, meeting original goals and terms despite COVID-19 -Supported a successful venture capital investment during Q1 2021, exceeding fundraising goals -Annual recurring revenue has grown from $1M to $3M+ and customers from 75 to 250+ since 2019 -Staff growth from 10 to 40+ since 2019 -Maintained operational integrity through investment in process, technology & staffing

Governance & operational oversight Portfolio & Risk Manager for the Endowment Investment Committee overseeing a portfolio of equities, fixed income, private credit, commodities.

CFA

CFA Institute

2003