Swayze LLC was founded in 2009 by Ashleigh Swayze and has since become one of the top compliance consulting firms serving the financial industry. Our clients include a variety of financial services firms, including wealth managers, financial planners, private fund managers, and broker-dealers. Our experts have a blend of “real world” experience in the financial industry beyond compliance including on the ground background in legal, business issues, marketing, business development, and human resources.
We promise our clients reasonable costs, paperwork reduction, help with finding the role of compliance in their business, and ACTUAL investment experience.
"SWAYZE'S UNFAILINGLY SOUND ADVICE IS UNENCUMBERED BY FLUFF OR JARGON. THEY SPEAK TO US IN A LANGUAGE WE UNDERSTAND AND ON WHICH WE CAN ACT WITHOUT HESITATION. THEY UNDERSTAND OUR SENSE OF TIME AND URGENCY, ALWAYS READY WITH TO-THE-POINT SOLUTIONS. WE APPRECIATE THAT THEY WORK TO TELL US HOW TO APPROPRIATELY DO WHAT WE WANT TO DO, NOT WHAT WE CAN'T DO. WITHOUT TRUST, RELATIONSHIPS CAN'T SURVIVE, LET ALONE THRIVE. OUR RELATIONSHIP RUNS DEEP BECAUSE OF THE TRUST WE'VE ENGENDERED WITH EVERY CONTACT."
TIMOTHY WHITE / MANAGING DIRECTOR / JOHNSON & WHITE WEALTH MANAGEMENT, LLC
“WE GOT THROUGH AN SEC EXAM WITH ZERO DEFICIENCIES, THANKS TO SWAYZE. WE WERE COMPLETELY PREPARED. IF THEY SAY TO DO IT, WE DO IT."
ANONYMOUS / CCO / PRIVATE EQUITY FIRM, CT
"I LOVED THE REMINDER I GOT THROUGH SWAYZECONNECT. IT MAKES MANAGING TASKS EASIER."
LARRY KAMIN / MANAGING MEMBER/ LK FINANCIAL PLANNING, LLC
ASHLEIGH C. SWAYZE, ESQ.
Managing Member, Founder
Prior to creating Swayze LLC, Ashleigh was most recently the Chief Operating Officer and General Counsel for Gleacher Fund Advisors, where she focused on the business and compliance functions of a broker-dealer, several investment advisers, and private placement funds.
In addition to daily compliance functions, Ashleigh, created and implemented a dynamic operational due diligence process, after thoroughly researching the needs of today’s investors. The client base includes high net worth individuals, major pension plans as well as foundations, endowments of all sizes. Previously, she was an associate in the Securities Law Practice Group of Stark & Stark where she advised investment advisers, broker-dealers, funds and other securities professionals on compliance, risk management, and corporate issues.
Ashleigh received a dual BAH (Bachelor of the Arts, Honors Major) and BA degrees from Villanova University and a juris doctor from Rutgers University School of Law. Ashleigh is a member of the bar of New Jersey.
EMILIE C. SWAYZE
COO, CFO, & Sr. Compliance Consultant
Although Emilie, began consulting with Swayze LLC since the inception, she joined full-time in 2011. She is the firm’s COO and CFO and responsible for the firm’s operations, marketing, AP/AR, billing, as well as client services.
Prior to joining Swayze, LLC, Emilie was employed with Caliper for ten years. There she had evaluated and delivered feedback to clients on the Profiles of several thousand individuals for the purpose of hiring and selection, employee development, team building as well as executive coaching. She had also coordinated national accounts and had worked with the Caliper Professional Sports Division. Many of her key accounts were in the finance industry such as OppenheimerFunds and BB&T. She had served Caliper as a senior level consultant and Associate Vice President where she had developed and mentored junior level consultants. She graduated cum laude from Holy Family University in Philadelphia, PA.
Managing Director & Sr. Compliance Consultant
Lauren Gretchen joined Swayze LLC in 2017 as Managing Director. She manages the firm’s Maryland office and serves as a Senior Compliance Consultant. She delivers ongoing compliance services to advisers ranging in size from $40 Million to $4 Billion as well as serving as an outsourced chief compliance officer.
Lauren started her career in the financial services industry in 1995. Prior to joining Swayze LLC, she served as CCO to a firm with multiple Registered Investment Advisors and Mutual Funds. She has also run her own insurance and investment advisory practice for 6 years. Additionally she has held the position of Business Operations Manager for the Mid-Atlantic Region of Lincoln Financial Advisors/Sagemark Consulting where she oversaw the compliance, investment operations, and human resources departments.
Lauren is an Investment Advisor Certified Compliance Professional (IACCP) and holds her FINRA Series 7, 24, and 66 in addition to her Life & Health insurance license. Lauren obtained her B.S. in Finance from Miami University, in Oxford Ohio and her MBA in International Management from University of Phoenix.
Sr. Compliance Consultant
Lisa LaFond joined Swayze LLC in 2021. She brings in-depth compliance experience to the Swayze team as she was previously employed with Purshe Kaplan Sterling from 2004 to 2021. She moved up the ranks at PKS from Assistant Compliance Officer, to Chief Compliance Officer, to her last role as Chief Governance Officer. As Chief Governance Officer, Lisa coordinated with counsel all legal-related items, including the coordination of litigation, contract review and Corporate Resolution maintenance.
Lisa also worked for The Ayco Co., a Goldman Sachs Co., as a Financial Analyst.
Lisa has a Bachelor’s Degree in Business Economics, with a minor in Accounting from the State University of New York at Oneonta. She also has a Master’s Degree in Business Administration, with a minor in Finance from Canyon College, and earned her Juris Doctor from Taft Law School. She holds the Series 7, 24 and 63 securities licenses.
Ryan joined Swayze LLC in 2016. He specializes in managing the registration process for new advisers. Additionally, he also oversees the ongoing compliance for existing advisers.
Previously, Mr. Oakes worked for Independence Blue Cross and McBee Associates, Inc. His role for these organizations was to manage projects, conduct audits and compile financial data analysis. Mr. Oakes has a degree in Finance from West Chester University.