With over 33 years in the securities industry, Mark Oswald serves as our Chief Compliance Officer. He focuses on maintaining the firm’s adherence to fiduciary obligations, consistently advocating for clients’ best interests, and managing conflicts of interest. His tenure includes notable service as the Chief Compliance Officer for national broker/dealers and Registered Investment Advisors. Mark’s dedication extends beyond professional obligation; it resonates deeply as his life’s work and passion. In his role he enjoys the ability to fuse his expertise in law and investments, allowing him to contribute meaningfully to the firm’s growth with a robust compliance program and attract like-minded advisors to the RIA.

Meet Our Team