With broad and diverse experience within the legal and financial services industries, Ernie is
uniquely qualified and keenly focused on helping organizations increase their growth and solve their legal, compliance and financial issues. By leveraging his executive-level business acumen, notable legal experience and financial services expertise, he is able to provide comprehensive solutions that can help firms create and maintain an environment which ensures
their regulatory compliance processes and environment are robust, without being a drag on production and revenue.
Ernie focuses his practice on RIA law and compliance, private equity, venture capital, and
general corporate law. Previously, he has served as in-house counsel and held various compliance
leadership roles within asset management organizations from start-ups to global firms. He began
his legal career focusing on tax law, estate planning and asset protection and also served as an
attorney in the Division of Investment Management of the U.S. Securities and Exchange
Commission.
Away from the office, he enjoys spending time with his wife, and their three kids. They have
deep ties to their local community and are actively involved with several local non-profit organizations, their HOA and their church. Ernie constantly strives to keep up to date on world and market events as well as financial services and legal industry best practices. Whenever possible, he remains optimistic about improving his golf game.
