Kelli A. Haugh, Esq., AIF® is a securities attorney and seasoned compliance professional with 20 years' experience in helping investment advisers successfully navigate complex legal and compliance challenges. She specializes in providing strategic and regulatory guidance to investment advisers under the Investment Advisers Act of 1940 and state securities laws. She has helped hundreds of investment advisers of diverse complexities with a wide range of issues including regulatory examinations, annual compliance reviews, mock examinations, regulatory responses, ongoing compliance support, advertising reviews, acquisition due diligence, and service agreements. Kelli has also supported the launch of new registrants and Exempt Reporting Advisers.
Kelli was most recently a Partner at ACA Group where she led the wealth management compliance consulting practice. Prior to that, she led the wealth management consulting practice at Foreside Financial Group as a Managing Director. Kelli was also previously a Partner with a boutique law firm concentrating on corporate and securities law. She holds the Accredited Investment Fiduciary® (AIF®) and Certified Securities Compliance Professional® (CSCP®) designations and has held the Series 65. Throughout her career, she has also been a sought-after industry speaker and is published in various articles on investment adviser compliance topics.