Stephen L. de Vore

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

Stephen L. de Vore, Director

Stephen L. de Vore
Director

Office: New York
Phone: (646) 237-3487
Fax: (212) 679-3570
Email: devore@alariccompliance.com

Stephen L. de Vore is a Director at Alaric with over 15 years of experience in the US and European financial industries as legal counsel, including regulatory compliance work before the SEC and CFTC. As an Alaric Director, he serves as the Chief Compliance Officer (CCO) for two registered investment advisers (RIA) a real estate investment company and as Assistant CCO to a Business Development Company (BDC). He has participated in a number of consulting assignments including SEC Mock Examinations and compliance assessments.

Prior to joining Alaric, Mr. de Vore was the Chief Compliance Officer and General Counsel of Huxley Capital Management, a financial management company.

Mr. de Vore began his legal career in the Paris and New York offices of Sullivan & Cromwell, and has also worked in the New York offices of Cleary Gottlieb Steen & Hamilton and Allen & Overy. He has done law firm rotations working on matters of tax, securities regulation and litigation, finance (specializing in real estate finance) and securities law for a variety of clients including domestic investment banks Goldman Sachs and JP Morgan, foreign investment bank Société Générale and UBS, private equity firms GE Capital and Blackrock, domestic and foreign insurance companies MassMutual and the Württemburgische Hypotekenbank AG, and CFTC-regulated commodities traders such as BP and Entergy-Koch. This experience has given him broad insights into the regulatory requirements and legal constraints under which large and small financial firms operate.

Prior to entering the legal profession Steve was a pilot and ship's officer in the U.S. Navy, serving eight years on active duty and five years in the reserves after having graduated from the U.S. Naval Academy with a B.S. degree in 1985. He graduated from Columbia Law School and the University of Paris, Sorbonne, in 1999. He is admitted to practice in New York and Connecticut.