Elizabeth Anth

Chief Compliance Officer


Elizabeth is fortunate to have found a career she loves and thrives in, and been exposed to various aspects of advisor and investment compliance. She enjoys sharing her knowledge with her colleagues and partners, and the ever-changing industry which allows her to remain challenged.

Previous Roles

Pine Advisor Solutions, Compliance Director
Easterly Funds & FDX Capital, Chief Compliance Officer
Schwab, Senior Manager, Investment Oversight
Empower, Manager, Investment Oversight
Curian Capital, Senior Compliance Analyst
OppenheimerFunds, Compliance Analyst

Education, Credentials, and Memberships

  • BSBA, University of Phoenix
  • MBA, Regis University
  • CSCP, University of St. Thomas
  • FINRA Series 6, 7, 14, 24, 26, 63 Investment Advisor 65


Outside of work Elizabeth enjoys volunteering at Manna Ministries, Rescue America, and Food Bank of the Rockies.