Steven Chang

Managing Director & CCO

Steven serves as Managing Director and Chief Compliance Officer, primarily responsible for the Firm’s compliance and risk management program. Additionally, he is a member of the Executive Committee, which guides and executes the Firm’s strategic direction and initiatives.

Steven has over 20 years of experience in broker/dealer, investment advisory, insurance, annuity, and investment banking compliance. Steven has successfully led and managed various broker/dealer and registered investment advisor compliance programs for numerous investment firms in the financial services industry.

Steven earned his bachelor’s degree in Finance from Oregon State University.

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This website is for informational purposes only and should not be construed as a solicitation to buy or sell, or to invest in any investment product or strategy. Investing in securities markets involves risk and the degree of risk varies by the type of investment or strategy. For a complete list of the risks associated with each of our Strategies, please review the Strategy Brochure and Factsheet. Materials such as blog posts, newsletters or commentary may contain information deemed to be correct and appropriate at a given time but may not reflect our current views or opinions due to changing market conditions. No information provided on this website should be viewed as, or used as a substitute for individualized investment advice.

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