Trading, Fiduciary Oversight, and Reporting & Technology

Eric Rosen

Chief Compliance Officer

Vincent Reyes

Director of Trading Operations
CMFC®

Stephen Fringer

Director of Systems & Reporting
CMFC®

Mike Van Kleeck

Senior Compliance Officer
CFP®, AIF®, CSCP®

Dave Nicholson

Compliance Officer

Ronald Reyes

Senior Manager, Trading Technologies
CMT®, CMFC®

Tony Nguyen

Senior Fixed Income Trader
CMFC®

Erik Soderberg

Senior Trader

Guillermo Torolira

Senior Accountant

Anvie Menke

Senior Developer

Toan Nguyen

Developer

Richelle Parra

Data Analyst

Alex Kim

Compliance Analyst

Rachel Otto

Administrative Assistant


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