Kimberlee Levy, Esq.
Kim is responsible for managing a team of eight compliance professionals, providing compliance and legal advice to management and personnel on various business lines, and developing and implementing an effective compliance program throughout the organizations. As an officer of the firm, she is a member of the executive management, investment management and due diligence committees. Kim’s background in sociology, as well as devotion to the leadership management works of Patrick Lencioni, guides the firm in compliance culture, ethics and organizational health.
Kim started her career in compliance in 1999 and has been a chief compliance and legal officer since 2008 with experience in financial institutions of all sizes. Her compliance and legal experience includes: alternative investments; advertising regulation for broker dealers, investment advisers (including Global Investment Performance Standards (GIPS), and investment companies; copyrights; conflicts of interest, cybersecurity; litigation management, ERISA regulations, public disclosure of reportable information; record retention; and statutory disqualifications.
Kim received her Juris Doctor from the DePaul University College of Law in Chicago, Illinois, and completed undergraduate studies at Michigan State University. She holds a Series 4, 7, 24, 63, 65 and 76 registrations. She is a member of the State Bar of Michigan and frequently speaks at industry conferences on topics such as due diligence, alternative investment suitability, conflicts of interest and regulatory issues.
In her spare time, Kim is an avid reader, and enjoys traveling, camping, boating and cheering her three kids on from the sidelines of soccer and baseball fields with her husband Jason.