Carl M. Rizzo

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

Carl M. Rizzo, Director

Carl M. Rizzo
Director

Office: New York
Phone: (888) 243-2448
Fax: (212) 608-1606
Email: crizzo@alariccompliance.com

Carl M. Rizzo is an experienced asset management compliance attorney and consultant, bringing to his work as a Director with Alaric 24 years of experience in addressing the regulatory compliance needs of a broad range of investment advisers, as well as administrators, distributor/placement agents and related service providers of private and publicly offered investment companies. At Alaric Mr. Rizzo has served as interim Chief Compliance Officer for a major institutional fixed-income asset manager with $110 billion AUM.

Before joining Alaric in 2011 Mr. Rizzo served as Senior Principal Consultant with a leading regulatory compliance consulting firm. There, in a span of three and a half years, Mr. Rizzo led or participated in 80+ SEC compliance program design, installation, and assessment engagements, including extensive onsite mock SEC audits for in excess of 50 separate investment adviser client firms. Previously, for eleven years, Mr. Rizzo served as principal in-house regulatory compliance attorney for the investment management units of several well known firms in the bank and insurance channels of the U.S. asset management industry — most recently as Assistant General Counsel at Bank of America Corporation in Charlotte, NC. There, he provided legal counsel to line management and compliance personnel regarding all pertinent SEC, ERISA/DOL, CFTC/NFA and NASD/FINRA regulatory requirements concerning the day to day operations of Banc of America Capital Management LLC, a registered institutional investment and commodities trading adviser with AUM in excess of $190 billion.

Mr. Rizzo began his compliance career serving as Senior and Special Counsel on the staff of the SEC's Division of Investment Management. In the latter capacity Mr. Rizzo served for three years as liaison between the Investment Management Division's (pre-OCIE) nationwide investment adviser / investment company regulatory examination staff and staff within the SEC's Division of Enforcement. In this role Mr. Rizzo reviewed 200+ post-inspection referrals from the inspection staff to the enforcement staff and participated in oral presentations to the SEC commissioners seeking staff authorization to bring enforcement actions in over 60 separate cases.

A graduate of Davidson College and the University of Richmond's T.C. Williams School of Law, Mr. Rizzo also holds a Masters of Law degree in federal securities regulation from Georgetown University and is admitted to practice in Virginia.