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Joseph M. DiBartolo
Director
Office: New York
Phone: (646) 747-3183
Fax: (212) 608-1606
Email: jdibartolo@alariccompliance.com
Joseph M. DiBartolo is a career asset management compliance professional specializing in the management and execution of compliance activities for SEC registered and unregistered investment adviser firms and hedge funds and has served as the Investment Advisers Act of 1940 Rule 206(4)-7 designated Chief Compliance Officer to four registered investment adviser firms.
Mr. DiBartolo began his career over 20 years ago as a Compliance Analyst with Smith Barney Inc. (formerly Shearson Lehman Brothers and E.F. Hutton), was the former Head of Compliance for HSBC Asset Management Americas, Inc. and Compliance Manager for PIMCO Advisers. Most recently, and prior to joining Alaric, Mr. DiBartolo held senior compliance roles for Bear Stearns Asset Management Inc. & Bear, Stearns & Co. Inc., including the function as CCO to several of Bear Stearns' RIA affiliates and hedge funds.
Throughout his career, Mr. DiBartolo has successfully managed numerous SEC routine examinations, inquiries and investigations. He has diverse knowledge across many traditional U.S. and global asset management products, wrap-fee programs and third-party investment consulting products. Mr. DiBartolo has also served as a Senior Compliance Officer (or CCO) for hedge funds whose investment strategies include long-short equities, private equity, high-yield fixed income, mortgage-backed securities, risk arbitrage, structured loans and multi-strategy fund of funds.
He graduated with an Accounting Degree from Syracuse University in 1985.
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