Mr. Paul Minninger is an Investment Adviser Certified Compliance Professional. Paul serves as Chief Compliance Officer for both SEC Registered Investment Advisers and Mutual Funds. Paul has experience in the design, implementation, on-going risk assessment, testing, monitoring and review of Compliance Programs for SEC-Registered Investment Advisers, Exempt Reporting Advisers, Mutual Funds, and Private Equity Funds with respect to Firm Policies and Federal Securities Laws. Paul’s client base has ranged from start-ups to established firms with Billions in AUM. Paul is primarily responsible for interfacing with clients in areas of reporting testing results, business planning, compliance issues, and potential compliance issues. In Paul’s day-to-day activities he has significant interaction and communication with client Senior Management.
Paul has conducted and participated in compliance due diligence reviews of Registered Investment Advisers, Fund Administrators, Custodians, Distributors, Transfer Agents, and Anti Money Laundering Agents. He has experience in SEC Examinations and in completing various regulatory filings with the SEC and FINRA. He has also attended and participated in Board Meetings of Mutual Funds. Paul is an Investment Adviser Certified Compliance Professional ® (IACCP ®).
Paul is a graduate of Pennsylvania State University with High Distinction with a Bachelor of Science Degree in Finance and is currently completing his Master’s of Business Administration from Pennsylvania State University at Great Valley. He is also a member of Beta Gamma Sigma, the International Scholastic Honor Society for Students in Business.