Meet Todd

In his role as President, Todd is overseeing the daily operations of the firm. In addition, he is expanding our services for Registered Investment Advisors.

Todd’s illustrious career spans more than three decades of work in the financial services industry for mutual fund complexes, institutional managers and retail in all types of legal structures and all asset classes. An experienced Chief Compliance Officer, General Counsel and Chief Operating Officer, Todd brings a strong background in all aspects of investment legal and compliance to his role as President. He has demonstrated strong competencies in technology, staff development and compliance program development, regulatory examinations, contract review and negotiations, and budget management.

His prior roles include CCO of CIBC Wealth Management, CCO of Invesco and, earlier in his career, Deputy GC, COO, CCO and Head of Product Development at AIG.

Todd has held Series 7 and 63 licenses. 

He obtained his J.D. from Western New England School of Law and a B.A. from Fairfield University.

When not working, Todd enjoys serving as Chairman of the Board of Dancewave, a nonprofit based in New York City, playing golf, cooking and leading his local Wine and Debate group.