Brad Daniels, CFA, CFE

J.S. Held’s Inaugural Global Risk Report Examines Potential Business Risks & Opportunities in 2024

Read More close Created with Sketch.

Brad Daniels previously served as the Chief Operating Officer at Capital Forensics, Inc., where he oversaw the firm’s operations, including case management, audits, human resources, staffing and talent development, and billing. In addition to his management responsibilities, he was also an expert witness in case matters, leveraging his extensive financial services industry experience.

In prior roles, Mr. Daniels served as Manager of Performance Analytics and CCO at DiMeo Schneider & Associates LLC, an RIA that provides investment consulting services to retirement plan sponsors, private and not-for-profit institutions, and ultra-high net worth individuals, with assets under management of more than $100 billion. During his decade-long tenure, he also served as a voting member of its Discretionary Team, charged with making investment decisions for clients within their Discretionary Services practice.

He has provided expert testimony in FINRA arbitrations and has drafted written opinions for Federal and State court cases involving fiduciary duties, sales practices, and supervision.

Key Expertise

  • Registered Investment Advisor (RIA) SEC Regulatory Compliance
  • Fiduciary Duty
  • Registered Investment Advisor (RIA) Operations
  • FINRA Rules & Suitability
  • Investment Management & Research
  • Investment Performance Measurement (Returns) & Statistics
  • Quantitative Investment Analysis
  • Litigation Analyst
  • Risk Management
  • Fraud Examination

Professional Certifications

  • Certified Fraud Examiner (CFE), 2020
  • Chartered Financial Analyst (CFA), 2014