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Kelli Haugh

Managing Director

BA, University of Miami; JD, Nova Southeastern University Law School

Ms. Haugh oversees Foreside’s investment advisor compliance services team and provides strategic and regulatory guidance to investment advisors under the investment advisers Act of 1940 and state securities laws. She has assisted investment advisers of diverse complexities with regulatory examinations, annual compliance reviews, mock examinations, and has successfully  launched new registrants and Exempt Reporting Advisers as part of her leadership of Foreside’s Advisory Practice.  Ms. Haugh is a frequently requested speaker and participant in industry conferences and webinars, speaking and writing on a contemporary compliance topics related to financial institutions and particularly investment advisers. Prior to joining Foreside, she was a Partner with Dew, Foxman & Haugh, PLLC, concentrating on corporate and securities law. She holds an Accredited Investment Fiduciary® (AIF®) designation and a Certified Securities Compliance Professional® (CSCP®) designation, and has held the Series 65 exam.