Craig M. Hughes, J.D.
Chief Compliance Officer
Craig is Chief Compliance Officer, responsible for overseeing all aspects of compliance and risk management, and brings more than 30 years of legal, regulatory, and compliance experience to the position. He is a member of the Company’s senior management team, Investment Committee, and mergers and acquisitions team.
Craig was previously a compliance director at Charles Schwab & Co., Inc., where he managed regulatory examinations and supported investment advisor and broker-dealer functions, and held FINRA Series 7 and Series 24 licenses. Prior to Schwab, he was an attorney in private practice with a national law firm specializing in defending investment management firms and professionals in regulatory proceedings and securities litigation. Craig’s experience includes working as an enforcement attorney in the San Francisco Regional Office of the U.S. Securities and Exchange Commission where he brought cases for securities fraud. Craig is a graduate of the University of San Francisco and the University of San Francisco School of Law, and a member of the State Bar of California.