Paul J. Carter Managing Director -
Chief Compliance Officer
Mr. Carter is Managing Director and Chief Compliance Officer. He has thirty years of investment industry experience. Mr. Carter is responsible for administering the firm’s compliance policies and procedures and performing compliance monitoring of legal and regulatory requirements. Prior to 2002, Mr. Carter was Compliance Officer at Duff & Phelps Investment Management and PXP Institutional Markets Group. Previously he also served as Compliance Manager at Scudder Kemper Investments and at PPM America, Inc. From 1990 to 1994, Mr. Carter was with the U.S. Securities and Exchange Commission in Chicago and Washington D.C. Mr. Carter earned his B.S. in Accounting from Bradley University.