Chief Compliance Officer
Brad is responsible for the development and oversight of all aspects of the Compliance program at Swan, with a focus on risk management, sales/marketing materials, code of ethics, process review and improvement, and periodic filings certifications and questionnaires.
He brings over 23 years of financial services experience to Swan, most recently with Transamerica Financial Advisors as Vice President and Chief Compliance Officer for the firm’s advisory business. Prior to this, he was Deputy Chief Compliance Officer for the Transamerica Funds, where he also served as Chief AML Officer and Chief Information Security Officer, and he also spent 5 years at Rydex Investments as Director of Institutional Services. Additionally, he served in various management roles at Franklin Templeton Investments for 6 years.
Brad is a graduate of Florida State University with a B.S. in Political Science, and was a member of the school’s Entrepreneurship and Small Business Management Program.