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Gary D. Davis, Jr.

Tom Kane

Consulting Associate
Operations, Compliance & Process Specialist

Gary brings over a decade of practical operations and compliance experience in financial services with a focus on providing clients with hands-on implementation of operational and compliance functionality.

This focus was born from witnessing RIAs sacrifice growth opportunities because owners and other staff were swamped with often overwhelming operational and compliance details. Gary helps firms play to their strengths of business development, investment management and relationship management by providing a qualified, trusted, can-do partner for handling the important, time consuming, specialized operations and compliance functions required to build and grow a successful investment advisory firm.

Gary has managed the operations, compliance (as the firm's Chief Compliance Officer) and investment departments at two financial planning and investment advisory firms. He managed operations for a broker/dealer and was a financial planning analyst for a third planning firm. He has managed all aspects of operations including investment operations, back office operations, compliance, and staffing. He has coordinated operations functions supporting client service, marketing, financial planning, technology and the financial management of the firm. Gary has authored or co-authored policies and procedures for each of these functional areas. His hands-on experience ranges from managing the compliance function to database management for client reporting to due diligence research on money managers and investment products.

He earned his state and NASD securities licenses and supervisory licenses (earning the Series 6, 7, 24, 63, and 65 and retaining the Series 65). Gary has a Masters in Accounting and Financial Management from Keller Graduate School of Management. He received an undergraduate degree from Purdue University; Purdue awarded him a Bachelor of Science in Financial Planning.