A little bit about D.E. Scott & Associates
We are a regulatory consulting practice specializing in SEC compliance requirements for registered investment advisers and mutual funds. Founded by David E. Scott in December of 2005, D.E. Scott & Associates serves as a valuable resource in helping its clients meet their compliance obligations
Our experienced team
Our senior team members are seasoned veterans with an average of 20 years of industry experience. A majority of our team members have served as Examiners with the SEC or FINRA and most of our consultants have also served as Chief Compliance Officers to investment advisers, broker-dealers or both.
David E. Scott,
Managing Member and
Senior Consultant
Mr. Scott started his career in 1995 as a Securities
Compliance Examiner with the U.S. Securities & Exchange Commission (SEC), where he conducted and
managed regulatory examinations of investment advisers, hedge funds, mutual
funds and transfer agents. Since his service with the SEC, Mr. Scott
has provided compliance services to a variety of investment management organizations,
serving in both internal and advisory capacities, and is routinely asked to
provide input on topical compliance issues for a number of industry publications,
including the Journal of Investment Compliance and the Compliance
Reporter.
Kenneth C. Karcher,
Director and Senior
Consultant
Mr. Karcher offers over thirty years of investment management
industry experience and has served in a variety of roles, including ten years
as a Senior Examiner with the SEC’s Boston Regional Office. During
his tenure with the SEC, Mr. Karcher managed the field examinations of a large
number of mutual funds, hedge funds, investment advisers, and fund transfer
agents, and played a significant role in the training and development of SEC
staff members currently serving in senior examination capacities.
Michael J. Philipps,
Senior
Consultant
Mr. Philipps offers investment compliance and operations expertise
and insights resulting from twenty four years of investment management industry
experience. Mr.
Philipps’ extensive background includes senior positions in compliance,
fund administration, financial accounting, shareholder services, and trading
and brokerage operations for several premier financial services organizations,
including State Street, Bisys Fund Services, Merrill Lynch and Sanford Bernstein.
William B. Portwood, Special Consultant
Bill
Portwood started his career in the industry in 1998 as a Field Examiner with
the NASD (currently known as FINRA), where he spent six years conducting and
managing regulatory examinations of brokerage firms and their branch offices. Since
his service with FINRA, Mr. Portwood has served in a variety of senior compliance
roles, including Chief Compliance Officer to two affiliated investment advisers
and two registered broker/dealers and as a senior compliance consultant to
a number of broker-dealers and investment advisers.
Laurie P. Roberts, Special Consultant
Laurie
Roberts is a seasoned compliance and financial professional with over 15 years
of broker-dealer compliance experience. Ms. Roberts has developed
successful broker-dealer compliance programs for a number of organizations
and is a specialist in the formation of new broker-dealers. Ms. Roberts
also specializes in developing supervisory control procedures, compliance
training and financial operations management for existing broker-dealers.