Tom Rausch has helped hundreds of investment advisors develop and improve their compliance processes. He works with RIAs from inception and as they grow from state to SEC registration. He performs ongoing reviews, helps them prepare for audits, and uses results to drive process improvements.

Experience

Tom has been involved in the financial services industry since 1987. His experience in public accounting, securities, and financial planning, give him a broad perspective on compliance across many industry segments.

·         Established Compliance Consultants in 1998 to help investment advisors follow the rules

·         Regular presenter on financial planning, compliance and accounting programs

·         CFO and COO at a federally registered investment advisor, responsible for accounting, finance, operations, back office, and regulatory compliance

·         Arbitrator for FINRA dispute resolution

·         Stockbroker with Series 6, 7, 22, 63, and 65 licenses

·         Investment advisor in Washington State

·         Tax accountant at a public accounting firm

Designations

More than just personal experience in a variety of facets of financial services, Tom has earned and maintains the following financial industry designations:

·         Accredited Investment Fiduciary Analyst^® (AIFA^®)

·         Certified Public Accountant (CPA)

·         Certified Financial Planner^® (CFP^®)

If you have specific questions regarding fiduciary responsibilities and obligations of trustees and other fiduciaries contact our affiliated company Bravo Zulu, LLC.  Bravo-Zulu@Comcast.net and visit their website at http://www.bravozuluonline.com