Trusts, Fiduciary, Banking, Lending, RIA, & BD

Specialties & Experience of this Expert Witness

Additional Information

I am the Chief Compliance Officer and Owner of Wealth Innovation, a boutique Registered Investment Advisor firm. We manage and advise upon various types of investment portfolios. I am also the President and Owner of Esoteric Advisors, a collaborative consulting and expert witness firm dedicated to fostering a robust and extensive collegial network of fellow experts. This practice specializes in unique areas within financial services, trusts, estates, and fiduciary matters. Previously, as a Region Manager and then Wealth Manager at a Fortune 500 financial services company, I collaborated with several leaders across various business lines to establish a unique hybrid Montecito Wealth office. My responsibilities included overseeing risk management, human resources, public relations, and corporate leadership. I am committed to maintaining the highest standards of compliance, legal integrity, and creditworthiness in both business and personal matters. Additionally, I have a strong background in public speaking, with experience in competitive speech and debate as well as decades of public and professional presentations. I have been admitted to court as an expert Witness, court admitted written affidavit and designated for arbitration as expert in FINRA 20 day. Series 7TO, through the FINRA MQP program and 66 as an IAR. Practicing Investment Advisor Representative. California Real Estate, Health, Life, and Disability Licenses. Certified Trust and Fiduciary Advisor, CTFA. Certified Fraud Examiner, CFE. Member of Association of Certified Fraud Examiners and board member of local chapter (ACFE). Voting Member of the Securities Experts Roundtable (SER).