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Carl Rizzo

Director

BA, Davidson College; JD, University of Richmond (VA); LLM, Georgetown University

Mr. Rizzo serves as an outsourced chief compliance officer, and in support of in-house CCOs, for SEC-regulated investment companies, business development companies, and their investment advisors as well as SEC-registered or registration-exempt investment advisors whose clients consist of privately offered alternative investment and/or structured finance vehicles; REITs; retail, high-net-worth individual and/or institutional separately managed account owners. With 30+ years of professional experience — initially in the public sector (senior/special counsel – SEC HQs Division of Investment Management); then as in-house counsel/compliance supervisor in the bank (Bank of America; Wilmington Trust Co.) and insurance (Aid Association for Lutherans/now Thrivent; USAA) private sector channels of the U.S. asset management industry; and prior to Foreside as a senior principal consultant (ACA – SEC RIA/RIC compliance program design, installation, and assessment).

 

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