D.E. Scott & Associates LogoD.E. Scott & Associates

A little bit about D.E. Scott & Associates

We are a regulatory consulting practice specializing in SEC compliance requirements for registered investment advisers and mutual funds. Founded by David E. Scott in December of 2005, D.E. Scott & Associates serves as a valuable resource in helping its clients meet their compliance obligations

Our experienced team

Our senior team members are seasoned veterans with an average of 20 years of industry experience.  A majority of our team members have served as Examiners with the SEC or FINRA and most of our consultants have also served as Chief Compliance Officers to investment advisers, broker-dealers or both.

David E. Scott, Managing Member and Senior Consultant
Mr. Scott started his career in 1995 as a Securities Compliance Examiner with the U.S. Securities & Exchange Commission (SEC), where he conducted and managed regulatory examinations of investment advisers, hedge funds, mutual funds and transfer agents.  Since his service with the SEC, Mr. Scott has provided compliance services to a variety of investment management organizations, serving in both internal and advisory capacities, and is routinely asked to provide input on topical compliance issues for a number of industry publications, including the Journal of Investment Compliance and the Compliance Reporter.

Kenneth C. Karcher, Director and Senior Consultant
Mr. Karcher offers over thirty years of investment management industry experience and has served in a variety of roles, including ten years as a Senior Examiner with the SEC’s Boston Regional Office.  During his tenure with the SEC, Mr. Karcher managed the field examinations of a large number of mutual funds, hedge funds, investment advisers, and fund transfer agents, and played a significant role in the training and development of SEC staff members currently serving in senior examination capacities.

Michael J. Philipps, Senior Consultant
Mr. Philipps offers investment compliance and operations expertise and insights resulting from twenty four years of investment management industry experience. Mr. Philipps’ extensive background includes senior positions in compliance, fund administration, financial accounting, shareholder services, and trading and brokerage operations for several premier financial services organizations, including State Street, Bisys Fund Services, Merrill Lynch and Sanford Bernstein.