Cathy Newcomb

chief compliance officer

Cathy Newcomb, Chief Compliance Officer, joined the firm in November 2011. She is responsible for the establishment and enforcement of the firm’s compliance program, ensuring adherence to client guidelines and regulatory requirements. In addition, she oversees portfolio administration and supports operations. Previously, Cathy worked at Nicholas-Applegate Capital Management (NACM), where she spent 15 years making key contributions in operations, investment management support, and trading. After leaving NACM in 2002, she spent four years at CapitalWorks as Operations Manager and Head Trader for equities and convertibles, and three years with Freeman Associates (and its predecessor firm). She originally started her career at San Diego Trust & Savings Bank where she spent four years as a Trust Operations Administrator. Cathy also serves on the board of directors of the Walden Foundation. She earned her B.A. in Finance and Banking and M.Ed. from National University. Cathy has over 35 years of investment experience.