David J. McCaffrey

Head of Trading, Chief Compliance Officer

Dave McCaffrey serves as the firm’s Head of Trading, managing and overseeing all trading activity conducted on behalf of clients. Dave is also the firm’s Chief Compliance Officer, responsible for ensuring the firm meets all regulatory and compliance expectations and engages in best practices. Dave has more than 30 years of experience in the investment industry, including senior positions with New Vernon Associates and Kidder Peabody & Co. Dave is an active member of The National Society of Compliance Professionals and holds a bachelor’s degree from the University of Saint Thomas in Minnesota.

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