For Immediate Release.
Riverwater Partners Appoints Tito Pombra as Chief Compliance Officer
Milwaukee (October 3, 2023).
Riverwater Partners, a Milwaukee-based investment advisory firm dedicated to responsible investing, announced it has appointed Tito Pombra as its Chief Compliance Officer (CCO). Pombra, who is the founder and president of Adviser Compliance Consulting (ACC), brings extensive experience in the global asset management industry, including 26 years in investment company/investment adviser and international compliance management.
In his role as CCO of Riverwater Partners, Pombra will assist leadership to oversee, monitor and review the firm’s compliance program, including periodic reviews, compliance education and training, and regulatory filings, as well as serve as the main point of contact for all compliance-related concerns and inquiries. Prior CCO and co-founder Laura Peck has been appointed Chief Operating Officer (COO) at Riverwater Partners and will continue to work directly with Tito on compliance matters.
“As we continue to fulfill our mission of making the world a better place by growing wealth through sustainable investing, there has never been a more important time to focus on proactive compliance measures,” said Adam Peck, co-founder and Chief Investment Officer of Riverwater Partners. “Tito’s wealth of experience both in our industry and with compliance more generally strengthens our ability to offer responsible investing solutions to our clients.”
Pombra’s expertise includes regulatory exams, outsourced CCO support, annual reviews, mock SEC exams, creating a strong culture of compliance, policies and procedures development, advertising and marketing reviews, risk assessments, and mentoring and training compliance professionals. He has also provided proactive compliance advice to clients on Rule 206(4)-7, Rule 38a-1 and private fund compliance programs.
Before founding ACC, Pombra was president of Core Compliance and Legal Services; Chief Compliance Officer of Matthews International Capital Management, LLC (Matthews Asia) and Matthews International Funds (DBA Matthews Asia Funds). He also held various senior compliance and accounting positions at Franklin Templeton Investments and Dreyfus Funds.
Pombra is a recognized thought leader on compliance best practices. He is co-chair of the San Francisco Bay Area CCO Committee and a former member of the board of directors of the National Society of Compliance Professionals (NSCP) and member of the Investment Company Institute’s (ICI) CCO committee.
About Riverwater Partners
Riverwater Partners is a Milwaukee-based investment advisory firm dedicated to responsible investing. Our experienced investment and client services team of independent fiduciary advisors delivers a range of services from wealth management for individuals, equity strategies for institutions and individuals and investment advising for non-profits, foundations and 401(k) plan sponsors. Working for positive change and achieving competitive returns do not have to be mutually exclusive. We are proud to be a Certified B-Corp™ and a Certified Woman-Owned Business.