Robin Shuman

Robin Shulman

Senior Consultant


Robin has over 30 years of experience in asset management and broker-dealer compliance. She has served as the Chief Compliance Officer at top-tier investment advisers and senior roles throughout her career.

Her areas of expertise covers the Investment Advisers Act of 1940, Investment Company Act of 1940, and various rules under FINRA, NFA, and CFTC. Her product knowledge includes equity and fixed income securities, mutual funds, wrap fee programs, structured security products, private placements, hedge funds, brokerage, private equity and traditional banking products. She also brings significant product experience to each role.

Other specialists