Chief Compliance Officer and General Counsel
Daniel is the Chief Compliance Officer and General Counsel, responsible for overseeing the firm’s compliance program and all related compliance matters. As General Counsel, Daniel is responsible for the preparation and/or review of all legal documents including client, partnership, investment, and vendor agreements and will assume the lead on our proxy voting efforts.
Daniel joined SGA in 2015 with extensive legal and compliance experience working with and advising SEC registered investment advisers and broker-dealers. Approximately 16 years of Daniel’s career was spent practicing securities law with the Goldstein Law Group where he was a Partner, and advised and represented financial services clients on regulatory and compliance matters. Prior to joining SGA, from 2013-2015 Daniel was the Chief Compliance Officer, Chief Anti-Money Laundering Officer and General Counsel for a NYC based broker-dealer and SEC registered investment advisor Gilford Financial Corporation where he worked to introduce industry best practices and technologies to the firm’s compliance program. During his affiliation with Gilford, he maintained his FINRA Series 7 and 24 licenses.
Daniel received a Bachelor of Science Degree in Finance from Boston College and a Juris Doctorate from the New England School of Law. Daniel is fluent in Italian.