Dowling & Yahnke Wealth Advisors (D&Y), currently managing over $4 billion of assets for more than 1,200 clients, is proud to announce that Larry T. Nakamura, IACCP®, has joined the D&Y team as the Director of Compliance.
Larry is preparing to assume the role of Chief Compliance Officer (CCO) and Director of Operations by the end of the first quarter of 2020 as the current CCO, Karrol Gibbs, plans her retirement after 19 years at the firm.
Prior to joining D&Y, Larry was an Executive Regulatory Consultant with National Regulatory Services (NRS) for nine years where he worked with Registered Investment Advisors, mutual funds, transfer agencies and other regulated entities.
Larry holds the Investment Adviser Certified Compliance Professional (IACCP®) designation and the Personal Financial Planning Certificate from UCLA. He has been an instructor for the NRS/IACCP Presentations and Educational Programs since 2011 and continues to be a contributor and featured guest lecturer on regulatory topics.
“Having worked as a regulatory consultant with hundreds of registered investment advisers, banks, and brokerage firms around the world, I quickly recognized that D&Y understood the importance of a strong and robust regulatory compliance program,” shares Larry. “I joined D&Y for their unwavering commitment to their clients, their community, and their high ethical standards”.
Larry resides in Carmel Valley and enjoys spending family time with his wife and two children.