Investment Adviser Compliance Conference 2025 | Investment Adviser Association | 5 March 2025 | Marriott Marquis Washington, D.C., 901 Massachusetts Ave NW Washington, D.C. 20001

The program features a distinguished experts in their fields including SEC officials, investment adviser industry professionals, legal experts.
In addition to meeting and interacting with peers, participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program.

2023 Past Speakers

Anil Abraham
Associate general counsel and managing director legal, Focus Financial Partners.

Adam S. Aderton
Partner, Willkie Farr & Gallagher LLP’s Litigation Department and a member of the Securities Litigation & Enforcement Practice Group

Dimple Anderson
Chief compliance officer, Vise a venture-backed FinTech startup

Karen Aspinall
Partner, Practus LLP Chair of the firm’s Financial Services practice area

Karen L. Barr
President & CEO, IAA in 2014

David P. Bartels
Partner, Dechert’s financial services group

Thoreau Bartmann
Co-chief counsel, SEC Division of Investment Management,

Gail C. Bernstein
General counsel, IAA.

Richard R. Best
Director, SEC Division of Examinations

William Birdthistle
Director, SEC Division of Investment Management

Jeff Blumberg
Partner, Faegre Drinker Biddle & Reath LLP

Lori Bosi
Senior director of investment compliance, MFS Investment Management®

Monique S. Botkin
Associate general counsel, IAA

Sarah Buescher
Special counsel, IAA

Maria Chambers
Chief compliance officer and Vice president, Klingenstein Fields Advisors

Charu A. Chandrasekhar
Litigation counsel, New York office of Debevoise & Plimpton

James Creel
Associate general counsel, The Vanguard Group, Inc.’s Office of General Counsel

Dianne M. Descoteaux
Associate general counsel, IAA

Lance Dial
Partner, Morgan, Lewis & Bockius LLP

Carlo di Florio
Global advisory leader, ACA Group

Scot Draeger
President and General counsel, R. M. Davis

Jennifer A. Duggins
Assistant director and co-head, Private Funds Unit within the SEC’s Division of Examinations

Ivy Wafford Duke
Chief compliance officer, National Real Estate Advisors, LLC

Jennifer Eller
Principal, Groom Law Group’s Fiduciary and Retirement Services practice

Langston Emerson
Partner, Mindset DC

Lee Faria
Chief compliance officer and Vice president, Columbia Management Investment Advisers

Shannon Geyer
Director of compliance & finance, Compton Wealth Advisory Group, LLC

Steve Gilbert
Vice president in the Advisory Compliance Division of Raymond James, President and CEO, Carillon Fund Distributors, Inc.

Alan P. Goldberg
Partner, Stradley Ronon in Chicago, IL

Laura L. Grossman
Associate general counsel of the IAA

Nancy Hancock
Vice president, IAA’s, business practices

Patrick Hayes
Partner, Calfee, Halter & Griswold LLP

Kelley Howes
Co-chair, Morrison Foerster’s Investment Management Group

Michelle L. Jacko
Managing partner and CEO, Jacko Law Group, PC

David Joire
Senior special counsel, Chief Counsel’s Office of the SEC’s Division of Investment Management

Ken C. Joseph
Managing director and head of the Financial Services Compliance and Regulation practice, Americas at Kroll, LLC

Tanya Kerrigan
General counsel and chief compliance officer, Eaglebrook Advisors

Laurin (Laurie) Blumenthal Kleiman
Partner, Sidley’s Investment Funds practice

Pam Krill
Shareholder in the Investment Management Practice Group, Godfrey & Kahn

Joe LaFemina
Senior manager, Advent Managed Services Solutions

Sanjay Lamba
Associate general counsel, IAA

Jim Lundy
Partner and litigator within the Securities Enforcement & Litigation Practice Group, Foley & Lardner LLP

Joseph M. Mannon
Shareholder and Co-chair of the Investment Services Group, Vedder Price

Katherine (Katie) M. McGinley
Chief compliance officer, Mitchell McLeod Pugh & William

Michael W. McGrath
Partner, K&L Gates LLP

Marc Mehrespand
Branch chief in the Chief Counsel’s Office, SEC’s Division of Investment Management

Paul Miller
Partner, Seward & Kissel’s Investment Management Group

Larry Nakamura
Vice president and chief compliance officer, CI Private Wealth and head of US Wealth Compliance

William A. Nelson
Associate general counsel, IAA

Kimberly H. Novotny
Senior associate general counsel, Franklin Templeton

Erik Olsen
Chief compliance officer, Vident Investment Advisory, LLC and Vident Advisory, LLC

Dabney O’Riordan
Partner, Quinn Emanuel Urquhart & Sullivan, where she focuses on securities-related government inquiries and litigation

Alpa Patel
Partner, Investment Funds Regulatory Solutions Group of Kirkland & Ellis LLP

Mari-Anne Pisarri
Partner, Pickard Djinis and Pisarri LLP

Mukya Porter
Principal, CIM Group

Jacob (Jake) Prudhomme
Financial services, advisory, KPMG US

Gwen Reinke
Managing director and chief compliance officer, Vista Equity Partners

Aliya Robinson
Managing legal counsel, legislative and regulatory affairs, T. Rowe Price

Sarah Ronnenberg
Compliance director, Horizon Investments, LLC

Jyothi San Juan
Senior manager, compliance, CI Segall Bryant & Hamill

Michael Shoemaker
Chief compliance officer, Kayne Anderson Rudnick Investment Management, LLC

Victor Siclari
Senior vice president, Wilmington Trust

Neil A. Simon
Vice president, IAA’s government relations

Kevin Spence
Director of compliance, TIAA

Marshall S. Sprung
Global head of compliance, Blackstone

Kurt Wachholz
Managing director, Bates Group LLC

Steven A. Yadegari
Founder and CEO, FiSolve, an outsourced provider of COO, general counsel, and CCO services

E.J. Yerzak
Director of cyber IT services, Compliance Solutions Strategies (CSS)

Zephram J. Yowell
Senior vice president and counsel, egal and compliance department in the Newport Beach office of PIMCO

Wei Zhao
Chief compliance officer and head of compliance, Fiera Capital Inc