AT A GLANCE
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.
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Financial Services Compliance and Regulation
In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.
Compliance and Regulation
End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.