Salvatore Faia, JD, CPA, CFE
Founder and President
Salvatore has extensive experience with Mutual Funds, Investment Advisers, Hedge Funds, Broker Dealers, Business Development Companies and the investment management industry. His Fund experience includes Mutual Funds, Global Funds, International Funds, Hedge Funds and Business Development Companies. In addition to being an experienced Investment Company Act of 1940 Act and Advisers Act attorney, he is a Certified Public Accountant, and holds FINRA Securities Licenses, including the Series 7(General Securities Representative), Series 24 (Securities Principal) and Series 63 (Uniform Securities Agent), and Series 79 (Investment Banking). Salvatore is also Qualified as an Investment Adviser Representative.
Salvatore is a Member of the ICI’s Compliance Committee.
Salvatore has worked on Funds, Advisers, and Broker Dealers from inception, to launch, to successful marketing. He has built Compliance Programs from the ground up, and has often worked with regulators, including the Securities and Exchange Commission, FINRA and State agencies. He has a wealth of practical and educational experience. He participated in the SEC Break Point Task Force, and the SEC Omnibus Accounting Task Force.
Salvatore received his Law Degree from the University of Pennsylvania Law School where he graduated with Order of Coif Honors, and his Undergraduate Degree in Accounting and Finance, with summa cum laude Honors. He is admitted to practice law in various jurisdictions, and holds an active CPA license, is a member of various professional bars and organizations, and a frequent speaker at Compliance and Investment Industry events.
He was previously a Partner at an AM 100 Law Firm. He also has served as Chief Legal Counsel for an Investment Adviser and Broker/Dealer.