Nolan has spent more than 18 years in compliance across RIA, hybrid RIA, and dual registrant firms; he joined the firm in 2024.
He has served as CCO for three affiliated registered investment adviser firms, Deputy CCO for a rapidly growing hybrid RIA, and CCO of Advisory Services for a dual registrant firm, with additional experience in capital markets compliance. His work covers compliance program creation and implementation, surveillance and oversight design, branch audit programs, policies and procedures development, regulatory filings including Form ADV, Form CRS, 13F and 13H, and 206(4)-7 annual reviews. Nolan takes a practical, forward-thinking approach, building solutions tailored to each firm’s specific business model and resources rather than applying a one-size-fits-all framework.
Nolan holds a Bachelor of Business Administration in Insurance and Risk Management from the University of Mississippi and maintains Series 4, 7, 9/10, and 24 securities licenses.
