David is WealthSource Partner’s Chief Compliance Officer and General Counsel. Prior to WealthSource, David was the Chief Compliance Officer for Vellum Financial, one of two firms that merged to form WealthSource. David started his compliance career at the U.S. Securities and Exchange Commission where he served in many roles over his more than 11-year tenure from Securities Compliance Examiner, Staff Accountant, Branch Chief, and finally Assistant Regional Director at the SEC’s Los Angeles Regional Office in its investment adviser / investment company examination group.
In 2011, David started his own compliance consulting practice where he levered his prior SEC experience and assisted registered investment advisers in meeting their compliance obligations under state and federal securities laws. David holds a Bachelor of Arts degree in economics and political science from the University of California, Los Angeles, and a Master of Business Administration and a Juris Doctorate from the University of California, Davis.
David is married and has two children and enjoys spending time with his family.