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Bernard (Bob) Frize is both the Chief Compliance Officer (CCO) for LGA Capital and a Director at Alaric Compliance Services, LLC. Bob is a senior level compliance professional with extensive experience, including serving as a Chief Compliance Officer at SEC and FINRA registered firms. His product experience includes hedge funds, mutual funds, stocks, options, and, bonds, ETFs, BDC’s, UCITS, derivatives and structure products. He has participated in a number of SEC and FINRA compliance assessment projects and has successfully managed SEC and FINRA examinations addressing issues under both the Investment Advisers Act and the Investment Company Act.
Bob served as a Senior Compliance Officer at New York Life Investment’s IndexIQ; a developer of index-based alternative investment solutions and ETFs. He also served as a Chief Compliance Officer for two register investment advisor hybrids while serving as the Registered Branch Manager Designee at LPL Financial branch office.
During Bob’s previous tenure at Alaric he served in the roles of a Chief Compliance Officer for the trust and advisor of a $8 billion registered investment company, a Director of Compliance for a $3.1 billion large long/short hedge fund; a Chief Compliance Officer for the $4 billion broker dealer division of an algorithmic trading fund; interim CCO for a $60 billion asset manager at a leading multinational bank; a compliance consultant for $40 billion global asset manager and as a compliance consultant for a $225 million fund of funds performing monitoring and testing of activities for compliance with SEC regulations.
Bob graduated from Manhattan College with a BS in Business Administration (Finance).
Bob holds his Series 7 (General Securities Representative), 4 (Options Principal), 24 (General Securities Principal), 55 (Equity Trader), 63 (Uniform Agent State Law), 9 and 10 (Branch Manager/General Sales Supervisor) licenses.