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“I have been consulting in the financial services sector for more than 30 years. In that time, I’ve learned how critical it is to know the subject matter and be a trustworthy resource.”

Let's start with the obvious. Life in the financial world is not simple. Never has been. Never will be. It is a world where success — and sometimes failure — is defined by the way organizations navigate through a complex spider web of legal, regulatory, fiduciary and ethical demands. For more than 30 years, I have specialized in helping people like you do things the right way, so your chances for success are greater. Specifically:

  • I consult on broker-dealer and investment adviser legal and compliance matters, including providing enforcement defense and expert testimony in arbitrations and litigation.
  • I regularly prepare and present fiduciary training for firms and individuals nationwide.
  • I conduct fiduciary assessments and "mock audits" for advisers, broker-dealers, qualified plans, endowments and foundations.
  • I am a qualified neutral and provide dispute resolution services.

I invite you to learn more about the services I provide, and contact me to discuss your needs.


For more information, contact Keith Loveland, 952-746-1106, or by email at: kloveland@cap-mgt.com