Independent Directorship & Audit Committee Oversight
Providing SEC Nominating Committees, Board Chairs, and Search Firms with a SOX 407 Qualified Financial Expert with deep 15(c) advisory contract renewal and Rule 2a-5 valuation governance experience.
Fund Board Directorships & Audit Oversight
Bringing 35+ years of C-suite asset management operational experience, technical SEC compliance knowledge, and proven board leadership to U.S. SEC-registered investment company boards.
SEC Audit Committee Financial Expert
Fully qualified under Sarbanes-Oxley Section 407. Deep expertise in GAAP accounting, complex fund valuation, internal controls assessment, and coordinating with top-tier independent accounting firms.
- Active NYSE CEF Audit Chair
- Financial Statement Integrity
- PCAOB Auditor Search Leadership
Section 15(c) Advisory Contract Renewals
Rigorous, independent evaluation of investment advisory agreements under Section 15(c). Extensive experience assessing advisory fees, profitability, breakpoint schedules, and performance attribution.
- Fee Benchmarking Analysis
- Gartenberg Factor Reviews
- Breakpoint Schedule Optimization
Rule 2a-5 Valuation Oversight
Expert guidance on board valuation designee frameworks, fair-value pricing methodologies, pricing service evaluations, and liquidity risk management programs across liquid & illiquid assets.
- Valuation Designee Audits
- Liquidity Rule 22e-4 Governance
- Level 3 Asset Back-Testing
Target SEC Registered Fund Segments
Open-End Mutual Funds | Exchange-Traded Funds (ETFs) | Closed-End Funds (CEFs) | Business Development Companies (BDCs)
Start a Confidential Conversation
Frank welcomes confidential conversations regarding selective Independent Director, Audit Committee Chair, Advisory Board, and senior consulting opportunities with registered investment funds, BDCs, and asset management platforms.