Adam Stutz | Core Compliance & Legal Services, Inc.

Compliance Consultant

Adam Stutz

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Compliance Consultant

Investment Adviser and Broker-Dealer Compliance Programs
Hedge and Private Fund Regulatory Compliance Matters
Compliance Program Development and Analysis
Forms ADV and Policies and Procedures Development
Codes of Ethics, Political Contributions and Compliance Program Surveillance Systems
Compliance Training Education

Mr. Stutz brings 13 years of in-house compliance industry experience to our team. Throughout his career, he has specialized in investment advisory compliance matters, with an emphasis on analyzing, monitoring, and responding to foreign and domestic filing requirements, including Forms ADV, Form 13F, 13G, and 13H and blue-sky filing requirements; IAR registrations; and Code of Ethics related issues, including personal trading activities. He also was responsible for providing training on a wide variety of compliance related topics.

Prior to joining Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”), Mr. Stutz served as a Compliance Analyst at Brandes Investment Partners, L.P., where he was responsible for compliance registration and Code of Ethics issues as well as compliance program technology-based solutions, including personal trading and compliance education software. There he conducted analysis and review of major shareholding requirements in a variety of foreign jurisdictions under the supervision of the General Counsel at Brandes Investment Partners, L.P.

His robust knowledge in these areas offers thoughtful, hands-on compliance consultation and tangible results and value for our clients.