Compliance

BAM’s Compliance team helps you implement best practices that we’ve seen benefit our network of 140+ affiliated Registered Investment Advisor firms. We sort through the ever-changing compliance regulations with you during formal and informal training sessions and one-on-one consulting. In addition to BAM’s in-house Compliance team, we have a strategic alliance with Ascendant Compliance Management that provides a full range of compliance services including expert consultants who handle time-consuming tasks like registrations, disclosures and creating policies and procedures.

Salvatore Papa

Salvatore Papa

General Counsel and Chief Compliance Officer

Jake Fechter

Jake Fechter

Compliance Specialist

See more of our team

Information That Makes An Impact

Our newsletter is packed with carefully curated news and insights tailored to the financial advisor industry, sent right to your inbox!