Bob Frize

The Alaric Team

• Guy F. Talarico
• Edward J. Cook
• Stephen L. de Vore
• Joseph M. DiBartolo
• Michael Dugan
• Bob Frize
• Kathy L. Glass
• Kathleen M. Hendriks
• Mildred Hernandez
• Abigail Hooper
• Michael A. Huber
• Christopher Lewis
• William S. McNish
• Michael Niedzwiedz
• Claudia Ranieri
• Carl M. Rizzo
• Lisa P. Sullivan
• Melissa Talarico

Bob Frize, Director

Bob Frize
Director

Office: New York
Phone: (646) 747-3181
Fax: (212) 608-1606
Email: bfrize@alariccompliance.com

Bob Frize is a Director of Compliance and Chief Compliance Officer. He has over 19 years of experience in the financial services industry. At Alaric he serves in the role of Chief Compliance Officer (CCO) for registered investment advisors and registered investment companies. His clients include hedge funds, funds of hedge funds, and funds of funds, Broker-Dealers, Mutual Funds, ETFS, and investment advisers. He has successfully managed SEC examinations addressing issues under both the Investment Advisers Act and the Investment Company Act. He has extensive experience with order management systems, quote providers, and internal proprietary systems; to analyze pre/post trading and best execution. He has participated in a number of SEC and FINRA compliance assessment projects.

Prior to working with Alaric, Mr. Frize spent 10 years at Pershing where Mr. Frize served on a specialized institutional order desk for RIAs, small hedge funds and large family accounts. He also worked as a Branch Control Manager for the Broker Dealer division of Pershing Advisor Solutions. His responsibilities included spearheading Best Execution, monitoring MSRB/TRACE, reviewing OATS, check suitability, and watching for mutual fund timing. He also participated in executive committees, and supervised various trade reports. Along with his trading responsibilities, he approved accounts (KYC, CIP), approves and updates option accounts and monitors checks/wires/journals for possible money laundering.

Mr. Frize graduated from Manhattan College with a BS in Business Administration and Finance. He is qualified for the following securities industry licenses: Series 7 (Registered Representative), 4 (Options Principal), 24 (General Securities Principal), 55 (Equity Trader), 63 (State Law/Agent), 9 and 10 (Branch Manager/General Sales Supervisor).