Joseph M. DiBartolo is a Director at Alaric Compliance Services and career asset management compliance professional. He has over 27 years of experience in the management and execution of compliance activities for SEC registered and unregistered investment adviser firms and private investment funds. As an Alaric Director, Mr. DiBartolo has served as an outsourced chief compliance officer to multiple SEC registered investment advisers. He has also executed a number of compliance consulting initiatives including SEC registration, compliance program design and risk assessment engagements with an emphasis on Alaric’s hedge funds and private equity clients
Prior to joining Alaric in 2009, Mr. DiBartolo’s experience included working with large institutional and retail asset management firms and dual registrants ranging up to $300 billion AUM. He most recently held senior compliance roles for Bear, Stearns & Co. Inc. (BSCI), Bear Stearns Asset Management (BSAM) and its asset management affiliates where he was responsible for supporting the parent company’s wealth and institutional asset management. Mr. DiBartolo also served as the Rule 206(4)-7 Chief Compliance Officer to four of Bear Stearns’ affiliated investment adviser firms and hedge funds.
Mr. DiBartolo previously served as the Compliance Manager for PIMCO Advisers and its affiliates, and Head of Compliance for HSBC Asset Management Americas, Inc.
Throughout his career, Mr. DiBartolo has successfully coordinated and managed over 25 SEC routine examinations, inquiries and investigations. He has also served as a Rule 206(4)-7 Chief Compliance Officer to 12 SEC registered investment advisers including hedge funds and private equity firms. He graduated with an Accounting Degree from Syracuse University in 1985.
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