Matt Dunn - Founder & Principal Consultant

Bringing over 20 years of investment advisor, private fund, and broker-dealer experience, Matt has worked in compliance and risk as a regulator, a consultant, and in-house CCO for broker dealers and investment advisors. Starting his career in brokerage operations, then as an examiner for NASD / FINRA before transitioning in-house, Matt brings a broad understanding of the industry from multiple viewpoints.

The majority of his career has been spent helping advisory firms keep up with rapid growth through both organic and M&A channels, supporting multiple advisory firms grow to over 30 billion AUM, under both aggregator and integrator models. He has deep experience with setting up and overseeing private funds from an operational, marketing, and sales practice perspective.  On the regulatory front, he has successfully navigated many regulatory examinations, established new RIAs and BDs, and provided compliance support of more than 20 acquisitions.  

Matt’s focus as CCO has always been establishing programs to protect advisors from all threats, whether from regulators, clients, fraudsters, or employees.  

Matt is a CFA charterholder, CFA Institute, earned his eMBA from the Weatherhead School of Business, Case Western University, holds the Certified Securities Compliance Professional “CSCP” designation from the National Society of Compliance Professionals, and holds the following licenses: Series 7, 66, 24, 14, 53, 31, 79, 99, 27 (inactive), and Ohio Life / Heath insurance license.