Eric is Fidato Wealth’s Managing Director and Chief Compliance Officer (“CCO”). In his role, he is responsible for managing/overseeing several areas at Fidato: Compliance, IT & Cybersecurity, Finance & Accounting, and Human Resources. Eric’s background and experience provides Fidato Wealth with a unique perspective on how we can continue to provide best-in-class client service to families and businesses as we continue to grow. Eric is passionate about the responsibilities of fiduciaries and has spent his career ensuring fiduciary standards were upheld in his prior roles.
Before joining Fidato, Eric was a partner at Ativo Capital Management, LLC in Chicago, IL serving as its COO and CCO during his tenure. Eric joined Ativo in 2014 and was responsible for overseeing compliance and operations, among other areas. Prior to joining Ativo, Eric worked at UBS Global Asset Management (Americas) Inc. for approximately seven years. During his tenure he was promoted to Director with the title of Senior Compliance Officer. He acted as the compliance lead in the firm’s Chicago office and managed a team of compliance officers in that location.
Prior to joining UBS, Eric was a Securities Compliance Examiner and Staff Accountant for the Broker-Dealer Examination Program in the Chicago Regional Office of the U.S. Securities and Exchange Commission (“SEC”) from June 2004 to January 2008. While at the SEC he conducted numerous specialized and cause examinations of the nation’s largest financial institutions and led financial and sales practice examinations of FINRA and other member broker-dealers and transfer agents. He received the Shannon D. Ayers Examination Award of Excellence during his tenure at the SEC.
Eric received his Bachelor of Science in Accountancy and Master of Accounting Science from the University of Illinois. He is an Illinois Registered Certified Public Accountant (“CPA”), Certified Fraud Examiner (“CFE ®”), Investment Adviser Certified Compliance Professional (“IACCP ®”), Series 65 Registered, and Completed Level 1 of the CFA Program.
In his time away from work, Eric enjoys spending time with friends and family including his two children, Ella and Henry, and his two dogs, Penny and Titus. Eric loves being active in beautiful Northeast Ohio and enjoys visiting his family and friends in Chicago, IL, his hometown. Although Eric remains an avid Chicago sports-fan he has adopted the Browns as his local team of choice and enjoys all that greater Cleveland has to offer.