Blue Heron Research Partners CEO and leadership

Business-centric Chief Compliance Officer with a background in both investment and operations roles at small and mid-sized companies. Overall, across my career, I have acted as a senior partner to business units, understanding the intricacies and nuances of their businesses, and then integrating value-add compliance across the organization. I have a strong track record in planning for growth, building best-in-class infrastructure, developing effective policies & procedures, implementing strategic objectives, risk assessment & management and overseeing cybersecurity. Highly Experienced in Due Diligence process.

STRATEGIC INTEGRATION OF COMPLIANCE INTO BUSINESS PROCESSES

| Developed, implemented, and supervise Blue Heron’s first formal compliance program and strategic compliance framework paralleling that of an SEC RIA

| Leveraged Compliance into a business-wide Quality Assurance function

OPERATIONS

| Led migration to a cloud environment resulting in no operational downtime during Hurricane Sandy

| Conducted risk assessments resulted in action items, mitigation and management awareness

| Oversight of information security, cybersecurity, data protection and privacy programs

UNIQUE INVESTMENT EXPERIENCE

| Created, structured, and purchased the market's first ever ABX put option realizing gains during the 2008 financial crisis credit market meltdown

CONTRACT NEGOTIATION

| Negotiated 50+ client agreements supporting 60% revenue growth over 2 years

BOARD MEMBER

| Provided guidance and counsel to the CEO of Bandwango on corporate governance, administration, compensation, capital structure, fundraising, growth and general management. Led company through a successful fundraising effort during Covid and venture capital investment in 2021.