Larry Nakamura

Director, Sr. Regulatory Consultant


Larry has over 20 years of experience working with clients who are subject to FINRA, SEC, OCC, CFTC and NFA regulation. Larry has worked closely with investment companies, mutual fund complexes, transfer agencies, private fund advisers, broker-dealers and commodity market participants to help them navigate their regulatory obligations, identify conflicts of interests, and reduce compliance risks. Larry has conducted hundreds of risk reviews, compliance program reviews, annual compliance reviews and mock regulatory examinations helping firms to identify regulatory deficiencies, internal control weaknesses, and mitigate compliance and operational risks. Larry was a principal executive of several independent registered investment advisory firms and broker-dealers. Prior to joining NRS in 2010, Larry served as the Chief Compliance Officer of a mid-sized broker-dealer/investment adviser and trust company. During this period Larry was responsible for the compliance of 13 Reg. D private funds, Section 3(c)(3) Common & Collective Trust Funds and was also part of the executive team that lead the development and launch of 12 registered 1940 Act funds for this organization. Larry’s extensive real-world experiences lead him to the development of a multi-lingual direct-access trading platform, high frequency trading tools, and back office management systems for active trading firms, with Nexa Technologies, Inc., a firm that he co-founded in 1998. Larry is frequent lecturer at NRS sponsored events and for the IA Certified Compliance Professional Program (IACCP) co-sponsored by NRS and the Investment Adviser Association (IAA). Larry is an IACCP, holds a PFP designation from the University of California, Los Angeles Extension, and has previously held the NASD/FINRA Series 4, 7, 24, 55 licenses. Larry has also been quoted in publications such as Hedge Fund Legal & Compliance Digest on topics relating to trading and valuation issues of equity and fixed income securities.

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