Michael Brown
Managing Director at RIA Compliance Specialists
- Role
- Managing Director at Ria Compliance Specialists
- Location
- Carlsbad, CA, US
- LinkedIn followers
- 500 followers
Experience
Managing Director
Aug 2012 — Present · Los Angeles, CA, US
We specialize in helping State and SEC Registered Investment Advisors meet their growing compliance needs. We only work with RIAs and that makes us specialists. If you want a specialist to help you keep up with your RIA duties, hire the right team today. Let our team help you become an RIA and help complete your initial registration. Additional services: AML Audits, ADV Updates, SEC Audits, Business Continuity Planning, CCO Evaluations and Hiring, Internal Audits, Policies and Procedures Manuals, Cybersecurity Audits, Technology and RIA Operations consulting.
Education
University of California, Berkeley, Haas School of Business
MBA
1990 — 1993
New York University
BA, Finance
1985 — 1989
Skills
- Mergers
- Strategic Planning
- Business Consulting
- Mergers & Acquisitions
- Strategic Financial Planning
- Strategy
- Private Equity
- Charitable Gift Planning
- Personal Financial Planning
- Business Strategy
- Investments
- Business Planning
- Financial Planning
- Financial Advisory
- Asset Management
- Estate Planning
- Start-Ups
- Insurance Consulting
- Management Consulting
- Portfolio Management
- Finance
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