Whether you are a new start-up or a seasoned veteran who understands that compliance risks can jeopardize your firm, our experienced professional team is ready and able to protect you.

Our team of consultants bring decades of experience working with Investment Advisers and Broker Dealers.

Cathy Vasilev

Cathy brings more than 23 years of compliance and supervisory expertise in independent broker/dealers, wire-house broker-dealers, and RIAs. Cathy served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer and RIA. She was an Associate Manager for Prudential where she supervised 75 representatives, performing all compliance functions for the branch. She began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations.

Cathy has a Master of Business Management degree; is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and has FINRA Series 7, 24, 26, 63 and Life and Health licenses.

Stephen Pope

Stephen brings a wealth of experience in developing mission critical software applications for the financial services industry. With over 25 years of experience in software sales and development, sales management, marketing, and operations, Stephen's consultative approach is well-suited to working with independent advisors.

Stephen served as Director of Application Engineering at NFP Securities where he led a team of developers to create custom software for the broker/dealer and RIA. Stephen was the Managing Director of Operations for Perficient, Inc., a public company with 220 consultants. He is an entrepreneur who has owned several successful start-ups and has vast experience in project management and client relationship building. Stephen is well versed on the latest cutting-edge technology in the financial industry.

Stephen has a Master of Business Administration degree; is a member of the National Society of Compliance Professionals; a member of the Project Management Institute; has both Microsoft and IBM technical certifications; and has a FINRA Series 7.

David Hampf

David brings over 11 years of broker/dealer and retail financial services compliance. David served as a compliance analyst responsible for the approval and use of marketing material and sales literature for over 300 Registered Representatives and Investment Advisors. David served in a variety of compliance roles in broker-dealer operations including general securities principal, options principal and municipal securities principal. David has experience in trading and trading operations, financial planning and retail client services.

David has a Master of Business Administration degree with a focus on finance and management and has completed the Bloomberg Essentials Training Program in the four principal areas of Equities, Fixed Income, Commodities and FX. David has the FINRA Series 4, 6, 7, 24, 53, 55, 63, 66 and Texas Group 1 Insurance licenses. David previously held the FINRA Series 3.

Karin Mastervich

Karin brings over 11 years of compliance and supervisory expertise in Registered Investment Advisers and broker/dealers. Karin served as the Director of Investment Advisory Compliance for NFP Securities where she was responsible for over 800 investment advisors. Prior to that Karin served as the Director of Sales Supervision where she supervised over 80 OSJs for branches responsible for more than 900 registered representatives.

Karin has the Investment Adviser Certified Compliance Professional (IACCP) designation and FINRA Series 7, 66, 24, 51, 53 licenses. She previously held a Texas Group 1 Insurance license.

Stephanie Adkins

Stephanie brings over 10 years of compliance and supervisory experience. She served as Director of Operations at New England Financial where she was the designated principal responsible for over 50 producers. She began her career at Prudential as a New Business Analyst.

Stephanie has a Master of Business Administration degree and FINRA Series 7 and 24 licenses.

Mari Castillo

Mari brings over 12 years of investment industry experience including compliance and supervisory expertise with Registered Investment Advisers and Broker/Dealers. Mari served as a senior compliance advertising analyst for an independent broker/dealer and RIA where she worked with 1,900 producers and a very wide range of products. She began her career at AIM Funds.

Mari has a Bachelor of Science degree and FINRA Series 6, 7, 66 and 24 licenses. Mari is fluent in English and Spanish.

Amy Clark

Amy brings over 20 years of financial services industry and administrative experience including serving as Chief Compliance Officer for a registered Hedge Fund, Ancient Art, L.P. Prior to Ancient Art, Amy served in the Austin Independent School District's newly established Bond Program Management Office to provide administrative support to the Assistant Director and Project Managers.

Amy has a Bachelor of Arts in Organizational Communication; is a member of the National Society of Compliance Professionals (NSCP) and coordinates the Austin NSCP Compliance Roundtable.

Pete Friesen

Pete brings over 13 years of software sales experience helping financial services firms improve their operations, reduce costs and increase sales. In September 2011 Pete joined Red Oak to lead the business development team responsible for Red Oak’s new AdMaster software.

Pete has a Bachelor of Science degree; is a member of Toastmasters; and is now learning more about compliance than he ever thought possible.