Below are biographies of Foreside’s senior staff members:
President and Partner, Foreside Financial Group
rberthy@foreside.com
BS, Miami University
Mr. Berthy serves as President of Foreside Financial Group and is responsible for all aspects of the firm’s management. Mr. Berthy holds FINRA Series 7, 28, and 79 registrations. With over 25 years of experience in the financial services and mutual fund industries, including management and ownership positions with registered investment advisors, Mr. Berthy has been with Foreside as a partner since its inception.
Chief Operating Officer, Foreside Financial Group
dwhitaker@foreside.com
BA, Providence College; JD, Suffolk University Law School
Mr. Whitaker is responsible for all of Foreside’s operations in its three locations. Prior to joining Foreside, he was Managing Member of Beacon Fund Services, LLC, a financial services consulting firm. For three years prior, he served as Vice President of Citigroup Fund Services, LLC, where he managed fund administration services. Mr. Whitaker also served as an attorney and compliance officer with PFPC, Inc., a mutual fund service provider.
Managing Director, Sarbanes-Oxley Services
tbakke@foreside.com
BS, University of Maine; CPA
Ms. Bakke is responsible for administering Foreside’s Sarbanes-Oxley compliance and consulting services and serves as Principal Financial Officer for certain fund clients. Prior to joining Foreside, she was responsible for managing the reporting, finance and tax aspects of fund administration of Citigroup’s Global Transaction Services business. In her 10 years at Citigroup, she was also responsible for managing the corporate accounting and broker-dealer finance matters. Prior to this, she was a senior auditor at Coopers & Lybrand LLP.
Director, Foreside Alternative Investment Services
schamberlain@foreside.com
BA, University of Texas, MBA, University of Denver
With 30 years experience in the investment management industry, Ms. Chamberlain serves as Chief Compliance Officer to a Chicago investment advisor. Previously she was chief operating officer and chief compliance officer at Quantlab Capital Management, Ltd., a registered investment advisor managing private and proprietary funds in Houston, and was chief operating officer at Columbine Capital Services, Inc., a company providing independent, quantitative research to the institutional investment community. At Columbine Capital, Ms. Chamberlain was responsible for the start-up of a market-neutral hedge fund as well as for the ongoing compliance, administrative and business operations of the firm. Ms. Chamberlain heads Foreside’s Chicago office and oversees the delivery of compliance services within the greater Chicago area.
Managing Director, New York Office, Foreside Alternative Investment Services
medwards@foreside.com
BA, Syracuse University; JD, Columbus School of Law, The Catholic University of America
Mr. Edwards has over 20 years of diversified experience in the securities and financial services industries. Prior to joining Foreside, he served in many executive, General Counsel and Chief Compliance Officer positions with onshore and offshore Hedge Funds and SEC Registered Investment Advisers. He is an adjunct professor with NY Law School’s LLM Financial Services Program teaching a course in Hedge Fund Regulation. He has served as a panelist on Hedge Fund compliance subjects including risk, valuation and “best practices.” He also practiced as an attorney and regulatory consultant advising U.S.-based financial institutions such as broker-dealers, investment advisors, commodity trading advisors and pool operators on diverse matters including “best practices” and compliance with onshore and offshore regulatory schemes. Mr. Edwards holds FINRA Series 7, 24 and 63 registrations.
Managing Director, Exchange Traded Products, Foreside Fund Services, LLC
clanza@foreside.com
BS, Accounting, Northeastern University, Boston, MA
Mr. Lanza heads Foreside’s Exchange Traded Products business. Prior to joining Foreside he was a Product Director for Citigroup Asia Fund Services based out of Mumbai, Hong Kong, and Luxembourg. Mr. Lanza has 25 years of experience across several disciplines in the investment management and securities processing operations. His experience has centered on building new businesses, acquisitions, integration, and management. Other companies Mr. Lanza has worked for include AGF Funds Inc. in Canada, Price Waterhouse Investment Management Consulting, Charles Schwab Investment Management, and Mitsubishi Union Bank of California.
President, Foreside Alternative Investment Services
smosher@foreside.com
BA, Manhattanville College; JD, Saint Louis University School of Law
Ms. Mosher is responsible for administering Foreside’s alternative investment fund compliance and consulting services and also serves as fund CCO for certain investment company clients. Prior to joining Foreside, she was CCO for a California investment advisor to alternative investment funds (including funds of hedge funds), CDO and CFO products. Ms. Mosher also was Senior Director and Chief Counsel of the Compliance Advisory Services division of Investors Bank & Trust Company.
President, Foreside Distributors (Distribution Support Services)
mredman@foreside.com
BS, Finance, Ohio State University
Mr. Redman is responsible for administering Foreside’s distribution support services and serves as President of Foreside’s broker-dealers. He has 28 years of experience in the financial services industry, including 17 years in mutual fund administration and distribution. Prior to joining Foreside, he was a Vice President at JP Morgan’s Worldwide Securities group. Previous to that, he worked as an independent consultant in the area of mutual fund setup, distribution and development, and also held a number of senior positions at The BISYS Group. Mr. Redman holds the FINRA registered designations of 7, 24, 27, 63, and 79, and serves as President of Foreside’s affiliated broker-dealer firms.
President, Foreside Compliance Services
broyer@foreside.com
BS, University of New Hampshire; JD, Boston University School of Law
Mr. Royer manages the day-to-day operations of Foreside’s Chief Compliance Officer and Alternative Investment Services and also directly advises Alternative Investment Services clients. He has 17 years of legal and compliance experience in the investment management industry. Prior to joining Foreside, he was Acting General Counsel of Baring Asset Management, Inc. where he led the legal advice and support team for Barings’ North American asset management business. He also served for 10 years as General Counsel and Member of Grantham, Mayo, Van Otterloo & Co. LLC (GMO) where he helped to lead the global expansion of GMO which now manages approximately $100 billion for investment advisory clients worldwide. Mr. Royer began his investment management industry career as an Associate with the Investment Management and Hedge Funds practices of Ropes & Gray LLP.
Director, Foreside Compliance Services
jwalsh@foreside.com
B.A. and M.Ed., Boston College
Ms. Walsh joined Foreside in 2010, having served for thirteen years as Chief Compliance Officer of Grantham, Mayo, Van Otterloo & Co. LLC (“GMO”), a global investment advisory firm with over $150 billion in assets under management for investment advisory clients worldwide. As CCO, Ms. Walsh was responsible for the development, oversight and implementation of risk and compliance initiatives throughout GMO including its fund complex, broker/dealer, and international subsidiaries. Her compliance and risk oversight responsibilities included quantitative and active equity, fixed income, hedge and private funds, real estate, private equity, timber, and various other alternative investment strategies. Regulatory oversight included governing bodies and related rules of several regulatory agencies, including the SEC, CFTC, NFA and FINRA. Ms. Walsh serves the firm’s clients through Foreside’s Boston offices.
