Mr. Stutz brings over 11 years of in-house compliance industry experience to our team. Throughout his career, Adam has specialized in investment advisory compliance matters with a specific focus on analyzing, monitoring, and responding to foreign and domestic filing requirements, including Forms ADV, Form 13F, 13G, and 13H and blue sky filing requirements; IAR registrations; and code of ethics related issues, including personal trading activities. He also was responsible for providing training on a wide variety of compliance related topics.
Prior to joining Jacko Law Group, PC, Mr. Stutz served as a Compliance Analyst at Brandes Investment Partners, L.P., where he was responsible for compliance registration and Code of Ethics issues as well as compliance program technology-based solutions, including personal trading software and compliance education software. Adam conducted analysis and review of major shareholding requirements in a variety of foreign jurisdictions for Ian Rose, the General Counsel at Brandes Investment Partners, L.P.
His robust knowledge in these areas offers thoughtful, hands-on compliance consultation and tangible value and results for our clients.
- Regulatory Filings and Reporting
- Forms ADV
- Policies and Procedures Development
- Codes of Ethics, Political Contributions and Compliance Program Surveillance Systems
- Compliance Training Education
Industry & Community Affiliations
Member, Southern California Compliance Group
B.A., Communications Studies, Sonoma State University
FINRA Series 65 (inactive)