Staff

Cipperman Compliance Services

Professional Staff

Our professionals all have significant industry experience, having worked for asset management firms and service providers to the asset management business. This depth of experience creates significant value for our clients given our "best practices" perspective and deep subject matter expertise.

Principals

Todd Cipperman

Todd has nearly 2 decades of experience in the investment management and financial services industries as both an inside general counsel and in private practice. He previously served as general counsel of SEI Investments, a large, public mutual fund and financial technology firm, which included advising its proprietary mutual fund family through significant market and regulatory changes. Cipperman has also served as U.S. general counsel to Mondrian Investment Partners, a large UK-based international equity manager during its management buyout. He also worked for several years in private practice on Wall Street at Dewey Ballantine and Winston & Strawn, representing both buy-side and sell-side clients in investment management and capital markets transactions. Cipperman is a graduate of the University of Pennsylvania Law School and Cornell University. Cipperman teaches for the FINRA Institute at Wharton and frequently speaks at industry conferences about distribution issues. During his career, Cipperman has engaged in all aspects of the investment management business. He has created mutual, hedge, offshore, and private equity funds; developed separate account, wrap account, and annuity products; designed innovative distribution structures; negotiated financial technology licensing agreements; and worked several acquisitions and joint ventures. He has also developed and executed compliance and internal audit programs. Cipperman has represented a wide range of industry participants including investment advisers, broker-dealers, fund sponsors, fund servicers, and technology providers.

Nick Filippo

Nick has over 20 years experience in the investment management and financial services industries, having spent his career in sales, client service and general management. Nick was previously Senior Vice President of sales and client service with Verdis Investment management, a provider of alternative investment solutions to the institutional market. Prior to that Nick spent almost a decade with SEI investments where he ran sales, marketing and client service for 2 different business units, providing outsourced solutions to Investment Managers, Registered Funds and Registered Investment Advisers. Nick began his financial services career as a broker for PaineWebber in Washington, D.C. Nick has an undergraduate degree from the University of Chicago, and an MBA from the Kellogg School of Management at Northwestern University.

Compliance Professionals

John Canning

John Canning has over 17 years experience in the asset management and mutual fund industries including compliance, fund and back office administration, portfolio servicing, and client service. Prior to joining CCS, he worked at Nationwide Funds Group, Turner Investment Partners and SEI Investments. He has served as a Chief Compliance Officer and has led fund operations. He has also implemented portfolio strategies and managed portfolio transitions. Earlier in his career, he served as a client service director. John is a graduate of LaSalle University with a B.S. in Finance.

Martin Dziura

Martin has over 25 years experience in compliance, accounting, auditing and operations in the Financial Services Industry. He previously served as Chief Compliance Officer for Hanlon Investment Management where he was responsible for the supervision, management, planning and coordination of the firm's compliance and supervisory responsibilities. Prior to that Martin served as Vice President, Compliance for Morgan Stanley Investment Management. At Morgan Stanley he developed the compliance policies and procedures manual, conducted risk assessments and directed all areas of testing and monitoring to comply with Investment Company Act and Investment Advisor Act regulations. Prior to his time at Morgan Stanley, Martin worked for SEI Investments holding several positions in Internal Audit and Compliance. Martin started his professional career at Delaware Management in Internal Audit and Financial Control. Martin is a graduate of Spring Garden College.

Brian Ferko

Brian has over 17 years experience in compliance and operations in the financial services industry. He previously served as Head of Compliance US and Chief Compliance Officer for Aberdeen Fund Distributors LLC where he was responsible for the supervision, management, planning and coordination of the firm's compliance and supervisory responsibilities. Prior to that Brian served as Chief Compliance Officer for BHR Fund Advisers and the BHR Institutional Funds. At BHR he developed the compliance program, policies and procedures manual, conducted risk assessments and directed all areas of testing and monitoring to comply with Investment Company Act and Investment Adviser Act regulations. Prior to his time at BHR, Brian worked for Ardmore Investment Partners as the Chief Compliance Officer and Head of Mutual Fund Administration, and at Turner Investment Partners as Director of Mutual Fund Compliance and Administration. Brian started his professional career with SEI Investments in Account Management and the Retail Transfer Agency. Brian is a graduate of LaSalle University.

Rich Kraemer

Rich has extensive experience as an Enforcement Lawyer with the Pennsylvania Securities Commission prosecuting securities fraud. In addition he spent a number of years practicing securities litigation at a private law firm. He is a graduate of Temple Law School and Vassar College.

Robert Tuleya

Bob is an experienced investment management lawyer who has served at the SEC, at a large investment management firm, and in private practice. Bob spent 8 years in the SEC’s Division of Investment Management, Office of Investment Adviser Regulation, where he helped write some of the most significant rules affecting the industry. He also drafted no-action letters and other industry guidance. Most recently, Bob worked as Senior Counsel with BNY Mellon’s Pershing Managed Account Solutions Division and Lockwood Advisors, where he advised on legal, regulatory, and transactional issues for managed accounts, SMAs, UMAs, and mutual fund wrap products. He also served as Chief Legal Officer of BNY Mellon Managed Investments Inc. (fka ADVISORport), an SEC-registered investment adviser providing managed account services. Earlier in his career, Bob worked at a law firm in Virginia. He is a graduate of Vanderbilt University School of Law and The College of William (cum laude).

Kristen Nolan Winsko

Kristen has over 10 years experience in the investment management industry including work as an institutional sales representative and mutual fund wholesaler, a regulatory manager, and as counsel. Most recently, she served as Counsel to PNC Global Investment Servicing (formerly, PFPC), advising with respect to hedge funds, wrap programs, custody, distribution, and transfer agency. She previously provided legal support to one of the industry’s leading wrap program sponsors, including product development, marketing review, board support, and compliance. Before her legal career, she spent several years developing relationships with, and wholesaling to, investment advisers and broker-dealers with respect to wrap programs and institutional products. She is a Magna Cum Laude graduate of the Widener University School of Law and Villanova University.

Gino Malaspina

Gino has nearly 20 years experience in the investment management industry. During his career, he has touched nearly every aspect of the registered fund business including registration statements, board materials, board meetings, service provider agreements, operations, SEC filings, and compliance. He has worked at Stradley Ronon and Drinker Biddle, two large law firms, and at PFPC, a large fund administrator, where he serviced several institutional clients. He is a graduate of Widener University School of Law and Albright College.

Rishi Desai

Rishi has experience representing public and private funds with respect to regulatory and transactional issues. He has also advised financial institutions on a wide variety of commercial transactions. Before joining the firm, he worked at Thompson Hine, a large regional law firm. He is a graduate of the Case Western Reserve University School of Law and The George Washington University, where he earned a B.A. in Economics. He is admitted to practice only in the State of Ohio.