David Lombardy joined Duff & Phelps in January 2015 from Kinetic Partners. As a result of Duff & Phelps’ acquisition of Kinetic Partners, Duff & Phelps created a dedicated Compliance and Regulatory Consulting practice.

David is a director with Duff & Phelps’ Compliance Consulting group in New York. He is responsible for advising U.S. clients on regulatory issues. David has managed the SEC registration process and ongoing compliance projects for several hedge fund and private equity clients. His compliance work has focused on the areas of personal trading, marketing literature, best execution and mock SEC audit. Previously David was with UBS Financial Services Inc. in the Institutional Consulting Group. He advised organizations on all aspects of their employee retirement programs with a focus on compliance with the Employee Retirement Income Security Act.

David holds a Juris Doctor from Seton Hall Law School. He holds a Master of Business Administration and a Bachelor of Science in Finance from American University, Kogod School of Business. David holds the Certified Investment Management Analyst (CIMA) designation and the Accredited Asset Management Specialist (AAMS) designation.  

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