Former SEC Examiner.
Senior CCO.
Now Working for You.
Advising investment managers on compliance programs that hold up when it matters.
Services
Compliance programs that look right on paper are not hard to find. Programs that hold up under SEC examination, investor diligence, and real operational pressure are considerably rarer. No Bad Acts LLC works with investment managers at every stage -- from initial program design and regulatory registration through ongoing oversight and examination support -- with an emphasis on how compliance functions in practice, not just how it reads in a manual.
Governance, Conflicts & MNPI Controls
Ongoing Advisory
Investor Due Diligence & ODD Support
Experience on Both Sides of the Table
Most compliance consultants can tell you what the SEC looks for. I've actually been the one looking. I began my career as a securities compliance examiner with the SEC, conducting examinations of investment advisers ranging from solo practitioners to multi-billion-dollar fund complexes. I know the examination process from the inside -- how examiners think, what they prioritize, where they probe when something looks off, and what a well-run program looks like through their eyes.
I am a registered attorney and have held senior compliance roles at global asset managers, working directly with investment teams, senior management, and boards on the design and implementation of compliance frameworks across a range of strategies and jurisdictions. I've led SEC examinations from the inside and have helped manage every aspect from initial document production through examiner interviews and final response.
This experience—both inside the regulator and within leading investment firms—shapes how I advise clients today.
About Me
Who We Work With
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Private equity and hedge fund managers at various stages of growth
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First-time funds preparing for institutional capital
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Newly registered RIAs preparing for their first examination
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Established managers strengthening compliance infrastructure
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Non-U.S. managers expanding into the U.S. regulatory environment
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Any RIA who wants to know honestly where they stand before the SEC does
Rigorous.
Practical.
Defensible.
Experienced.
