Amanda DeMaio is a Vice President at Alaric. Her experience includes working with chief
compliance officers in establishing compliance programs for SEC, FINRA and CFTC registered
firms. She has prepared clients for SEC and FINRA examinations. Her product experience
includes private funds, mutual funds, hedge funds, stocks, bonds, loans and derivatives. Ms.
DeMaio also has experience in state registration and various state and federal regulatory filings.
Currently, Ms. DeMaio’s clients include several investment advisers, investment companies and
private funds ranging from startups to over $1 Billion Dollars in assets under management.
Prior to joining Alaric Compliance, Amanda’s responsibilities included researching and preparing
memorandums regarding various SEC regulations as well as preparing and filing regulatory
filings (Form ADV, Schedule 13-G, Schedule 13-F, Forms 3, 4, and 5, Form 8-K, etc.).
In her most recent position prior to joining Alaric Compliance, Amanda served as corporate
legal associate for a New York-based law firm. In that role, her responsibilities included:
- Supporting general corporate governance matters for publicly held and private companies.
- Providing advice with respect to regulatory compliance, including compliance with SEC ('33, '34 Act and the Investment Company Act), NASDAQ, FINRA and state securities laws and regulations
- Assisting with due diligence in relation to public and private offerings for both issuers and underwriters/placement agents.
- Preparing reports in compliance with [SEC], NASDAQ rules, the Exchange Act and the Investment Company Act.
- Preparing and filing regulatory filings (Form ADV, Schedule 13-G, Schedule 13-F, Forms 3, 4, and 5, Form 8-K, etc.)
- Working with companies and underwriters in corporate finance transactions including M&As, public offerings and private placements
Ms. DeMaio received her J.D. (Juris Doctor) degree in corporate and business law from New
York Law School, and her B.S. in Political Science and Legal Studies from Monmouth University.
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