Mr. Smith is a seasoned chief compliance officer and securities and business attorney with over 20 years of experience strengthening the legal and compliance functions of investment advisers, broker-dealers, and investment vehicles. He has served as Chief Compliance Officer and Chief Legal Officer of NorthRock Partners and Virtue Capital Management LLC; Chief Executive Officer and Co-founder of RIA Compliance Firm LLC; and Founder and Managing Attorney for LawVisory. He previously served as Chief Compliance Officer of Griffin Capital Company LLC and Research Affiliates LLC, where he also served as Assistant General Counsel. Prior to that, he was Director of Compliance of Athene Asset Management LLC, and Senior Counsel of Legal and Compliance at The Rock Creek Group. Mr. Smith graduated cum laude with a B.S. in Accounting from the University of Kentucky, where he also earned his J.D.