NSCP.ORG

Murtaza Sardharwala

Holly Orefice 5/2/23 Holly Orefice 5/2/23

Murtaza Sardharwala

Deputy Chief Compliance Officer

Jasper Ridge Partners

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Tammy Patel

Holly Orefice 5/2/23 Holly Orefice 5/2/23

Tammy Patel

Director

Solid Regulatory Risk Management Services, Inc.

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Jeannie Lewis

Holly Orefice 5/1/23 Holly Orefice 5/1/23

Jeannie Lewis

President and Founder

J Lewis Consulting Services, L.L.C.

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Mario Chilin

Holly Orefice 5/1/23 Holly Orefice 5/1/23

Mario Chilin

Chief Compliance Officer
EP Wealth Advisors

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Patrick Hayes

Holly Orefice 5/1/23 Holly Orefice 5/1/23

Patrick Hayes

Chair, Investment Management

Calfee Halter & Griswold LLP

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Jonathan Forman

Holly Orefice 4/28/23 Holly Orefice 4/28/23

Jonathan Forman

Partner

Baker & Hostetler LLP

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Natasha Vij Greiner

Holly Orefice 4/28/23 Holly Orefice 4/28/23

Natasha Vij Greiner

Director - Division of Investment Management

U.S. Securities & Exchange Commission

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Michael Rufino

Holly Orefice 4/27/23 Holly Orefice 4/27/23

Michael Rufino

National Associate Director – Broker-Dealer/Exchange Program and Associate Regional Director, NY Regional Office

U.S. Securities & Exchange Commission

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Joe McDermott

Holly Orefice 4/26/23 Holly Orefice 4/26/23

Joe McDermott

Chief Compliance Officer & Chief Risk Officer

Curi RMB Capital

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Maureen Kiefer-Goldenberg

Holly Orefice 4/26/23 Holly Orefice 4/26/23

Maureen Kiefer-Goldenberg

Senior Vice President, Compliance

Mariner Wealth Advisors

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Jim Papagiannis

Holly Orefice 4/26/23 Holly Orefice 4/26/23

Jim Papagiannis

Chief Compliance Officer

InspereX Holdings LLC

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Wes Strickland

Holly Orefice 4/25/23 Holly Orefice 4/25/23

Wes Strickland

Senior Compliance Manager, ERISA Compliance

Betterment

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Melanie Mendoza

Holly Orefice 4/25/23 Holly Orefice 4/25/23

Melanie Mendoza

Chief Compliance Officer

Ranger Investment Management

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Tito Pombra

Holly Orefice 4/21/23 Holly Orefice 4/21/23

Tito Pombra

Founder and President

Adviser Compliance Consulting Inc.

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Genna Garver

Holly Orefice 4/21/23 Holly Orefice 4/21/23

Genna Garver

Partner

Troutman Pepper

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Jeff Himstreet

Holly Orefice 4/20/23 Holly Orefice 4/20/23

Jeff Himstreet

VP and Senior Counsel

Managed Funds Association

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Richard Szuch

Holly Orefice 4/20/23 Holly Orefice 4/20/23

Richard Szuch

Shareholder

Stevens & Lee

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Michael Shoemaker

Holly Orefice 4/19/23 Holly Orefice 4/19/23

Michael Shoemaker

Chief Compliance Officer

Kayne Anderson Rudnick Investment Management, LLC

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Korrine Kohm

Holly Orefice 4/19/23 Holly Orefice 4/19/23

Korrine Kohm

Managing Director

AltPILOT

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Rebecca Peckham

Holly Orefice 4/18/23 Holly Orefice 4/18/23

Rebecca Peckham

Executive Director, Legal and Compliance

Morgan Stanley

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