Matt joined GW & Wade as Chief Compliance Officer and Counsel in 2018. As CCO and Counsel, Matt is responsible for overseeing regulatory compliance for the organization and assisting General Counsel with legal matters.
Matt comes to GW & Wade with 13 years of experience in the financial services industry. Prior to joining GW & Wade, Matt was Assistant Vice President of Business Controls for State Street Global Advisors' Institutional Client Group, where he served as a member of the firm's Global Compliance Committee and drafted firm policies, procedures and controls. Before that role, Matt worked as a Compliance Director for Brighton House Associates where he led Compliance efforts for a Private Equity and Hedge Fund Placement Agent. Matt began his career as a Trader and Regional Compliance Officer for Investors Capital Corporation, a dually registered SEC Investment Adviser and FINRA broker dealer, where he supervised registered branches across the U.S.
- Member of the Massachusetts Bar Association
- JD, New England School of Law, Magna Cum Laude
- BS, University of Massachusetts Isenberg School of Management, Cum Laude
- General Securities Representative (Series 7)
- General Securities Principal (Series 24)
- Registered Options Principal (Series 4)
- Uniform State Securities Agent (Series 63)
- Registered Investment Adviser Representative (Series 65)
- Municipal Securities Principal (Series 53)