Mark W. Bell, a former state regulator, serves as Principal Consultant and Managing Member, working personally with each client.
His regulatory, internal compliance, sales, and asset management experience provide valuable insight into each of these facets of the financial industry. He has worked in financial services since earning his MBA in 2005, and has 20+ years experience overall in regulatory compliance.
Mark founded Tirador Compliance LLC in 2015 to deliver compliance services for small and medium investment firms. Tirador's clients include both state and SEC-regulated RIAs, primarily in Colorado and the West.
- Mark served as Securities Examiner with the Colorado Division of Securities, conducting examinations of state-registered advisers.
- He was Senior Compliance Analyst for a Denver-based regional financial holding company, consulting with affiliates Green, Manning & Bunch (M&A broker/dealer), CoBiz Wealth (SEC-registered RIA), CoBiz Insurance, and Colorado Business Bank.
- Mark managed a dually-registered broker/dealer & RIA branch office, substantially increasing revenues and assets under management.
Mark is contributing author of:
- "State Securities Regulators: Forgotten But Not Gone," in Modern Compliance: Best Practices for Securities & Finance Volume II, edited by David H. Lui and John H. Walsh, with Associate Editor Jason K. Mitchell (Chicago: Wolters Kluwer, 2017), Chapter 10, pp. 283-291.
- “3 Compliance ‘Gotchas’ for Fee-Only Planners and Advisers” in NAPFA Advisor, September 2018.
His training includes NASAA, NSCP, SEC, and FINRA conferences and workshops.
Mark is a founder and Board Member for Rocky Mountain Refuge for End of Life Care, a non-profit organization created to offer a dignified alternative to dying alone on the street for those with terminal illness.
Mark earned his MBA from the University of Colorado at Denver in 2005, regularly making the Dean's List, while working full-time. He is a recovering IT geek and a former federal employee.
Mark is a life-long resident of the Denver metro area, and wasted his youthful summers playing Skee-Ball at the old Elitch Gardens on 38th.
Hanh T. Nguyen serves as a consulting partner at Tirador, collaborating on client issues as needed.
Hanh has over a decade of regulatory compliance consulting experience with a specialization in private funds management. She’s advised several of the world’s leading investment managers. She is also the founder and CEO of Complect, a SaaS platform providing tech enabled compliance program management solutions to investment advisers.
- Hanh is a partner and Chief Compliance Officer for Great Ocean Road Advisors, a consumer focused hedge fund.
- Hanh is the founder of Complect, a compliance program management technology platform.
- Hanh was a compliance consultant in the investment advisory division for an international compliance consulting firm, ACA Compliance Group.
Hanh earned her B.A. from the University of Virginia in 2010.
Hanh is a globe trotter and big foodie. When not buried in the Investment Advisers Act, she can be found spending her free time planning her next international trip or meal.
