Greater Minneapolis-St. Paul Area
I’m a Minnesota-based attorney with over a decade of experience advising financial institutions on securities regulation, banking compliance, and strategic transactions. Currently, I serve as Assistant General Counsel at Wells Fargo, where I advise the Trust Services business within Wealth and Investment Management. Previously, I held legal and compliance leadership roles at U.S. Bank and U.S. Bancorp Investments, where I managed regulatory exams in the Wealth Management and Securities space, led M&A integration, and built compliance programs across broker-dealer and investment advisory platforms. I’ve also founded and sold an investment advisory firm and advised VC funds, startups, and high net-worth families through private law practice. My approach blends legal precision with business pragmatism. I’ve taught law students, mentored professionals, and led cross-functional teams through regulatory change and operational transformation. Whether navigating complex regulatory frameworks or negotiating fund terms with institutional investors, I bring a collaborative, solutions-oriented mindset to every challenge. Let’s connect if you’re interested in financial regulation, legal innovation, or building resilient compliance frameworks.
•Engaged and influenced senior leadership on regulatory inquiries, developing resources for effective Legal–Regulatory Agency interaction. •Advised on handling Confidential Supervisory Information (CSI) across Legal, Regulatory Relations, Change Management (M&A/divestitures), and business partners, reducing regulatory, reputational, and operational risk. •Counseled on large-scale technology initiatives, ensuring compliance with applicable laws and internal policy for document management and recordkeeping. •Provided credible challenge and executive-ready communications on high-impact legal matters
•Advised business lines on securities, investment banking, and wealth management regulatory exams (FINRA, SEC, OCC, FRB, CFPB, FDIC, NFA, CIMA), ensuring accurate, consistent, and timely responses. •Led regulatory exercises on crypto custody and digital assets, coordinating with Compliance and Risk Management to address novel product and trading solutions. •Maintained relationships with bank examiners and facilitated readiness for regulatory changes impacting retail broker-dealer, investment advisory, private bank, trust, and lending activities. •Coordinated cross-functionally to shape remediation strategies and governance artifacts with clear lines of ownership and durable controls.
•Led financial risk due diligence for acquisition targets; partnered with Corporate Development and executive sponsors to plan transaction logistics and post-close integration. •Updated resolution plan (“living will”) documentation and authored operational playbooks to guide executable crisis responses, aligning regulatory expectations with business continuity.
•Advised securities businesses on Advisers Act, Exchange Act, and SEC/FINRA/MSRB rules; managed a team of FINRA-registered principals overseeing broker-dealer and investment adviser regulatory compliance. •Enhanced policy and supervisory procedures for evolving product sets and distribution channels, including self-directed and advisory models.
•Advised a VC fund (target $50M) on formation and regulatory filings; drafted and negotiated LPA terms with Fortune 500 LPs. •Counseled startups and SMBs on entity formation, governance, and compliance with Reg D/VC exemptions. •Advised high net worth and ultra-high net worth individuals and families on estate planning, wealth distribution, and charitable gifting strategies.
•Built a registered investment adviser serving high- and ultra-high-net-worth clients (individual relationships up to $25M). •Designed legal and compliance infrastructure under the Advisers Act and MN state rules; implemented technology and operational workflows to evidence fiduciary advice, documentation, and books/records.