Aaron De Angelis


Chief Compliance Officer

Spring Mountain Capital, LP


Aaron D. De Angelis, CPA is the Chief Compliance Officer for Spring Mountain Capital, LP (“SMC”) and SMC Fixed Income Management (“SMCFIM”). Aaron is responsible for ensuring that SMC and SMCFIM are in compliance with the rules and regulations promulgated under the Investment Advisers Act of 1940 (“IA Act”), state registration requirements and GIPS requirements. Prior to joining SMC, Aaron was the Managing Partner for KPMG for one year, responsible for developing and leading the firm’s 1940 Act consulting practice. Prior to joining KPMG, Aaron was the Chief Compliance Officer at Brandywine Global Asset Management, LLC (“Brandywine”) for over two years. Aaron was responsible for ensuring that Brandywine was in compliance with the rules and regulations promulgated under the Investment Advisers Act of 1940 (“IA Act”), state registration requirements and GIPS requirements. Prior to joining Brandywine, Aaron served as the Vice President/Director of Compliance at Rorer Asset Management, LLC (“Rorer”) where, for seven years, Aaron was responsible for building the firm’s Compliance Program, which included working on the automation of the new account opening process, new account investing process, account maintenance process, account trading process and marketing material review process. The Compliance Program was designed to help ensure that the firm is in compliance with the rules and regulations promulgated under the IA Act, state registration requirements and GIPS requirements. Prior to Rorer, Aaron was employed by the Securities and Exchange Commission as a Senior Securities Compliance Examiner/Staff Accountant for 7 years in the Philadelphia District Office. Aaron has conducted over 100 investment adviser and 25 mutual fund examinations, and has participated in 5 enforcement referrals. He received a letter of recognition from the Securities and Exchange Commission in 1997 for his part in training state examiners on the requirements of the Investment Advisers Act of 1940. In addition, Aaron received a letter of recognition for a job well done by speaking at the SEC’s inaugural Chief Compliance Officer Outreach National Seminar (2005). Aaron received his BS from LaSalle University where he graduated with honors. Aaron served a full term on the board of the National Society of Compliance Professionals, and is a member of the NSCP’s Seminar Facility and serves on the NSCP’s Investment Adviser Resource Team.


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