Barry joined SCA in 2005 after serving as the CCO and CFO of an SEC registered private fund manager for several years. Barry is an attorney with a background in private fund operations and regulation, accounting and real estate fund management.
Over the past eleven years he has served as lead consultant on a number of diverse and complex SCA client engagements for investment advisers, private funds, family offices and broker-dealers. His work with advisers, private funds and family offices includes the development and ongoing support of individualized compliance programs, registering clients as investment advisers with the SEC and CFTC, conducting SEC mock audits and annual review assessments, facilitating the risk assessment and conflict identification process, and managing or supporting the SEC examination process.
His work with broker-dealers includes acting as lead consultant on supervisory control (Rule 3120) and anti- money laundering audits, registering clients with FINRA and preparing and filing continuing membership applications. He also has experience in the development and ongoing support of broker-dealer compliance programs and managing FINRA and SEC examinations.
Barry received his Bachelor of Science in Accounting from Brooklyn College and graduated Summa Cum Laude. He received his J.D. from Fordham University School of Law and his LLM in Taxation from New York University School of Law.
On a Personal Note
In his spare time, Barry enjoys reading, relaxing at the beach and his eight grandchildren.