Ashleigh C. Swayze, Esq., Managing Member

Prior to creating Swayze LLC/Concierge Compliance, Ms. Ashleigh Swayze was most recently the Chief Operating Officer and General Counsel for Gleacher Fund Advisors, where she focused on the business and compliance functions of a broker-dealer, several investment advisers, and private placement funds.

In addition to daily compliance functions, Ms. Swayze, created and implemented a dynamic operational due diligence process, after thoroughly researching the needs of today’s investors. The client base includes high net worth individuals, major pension plans as well as foundations, endowments of all sizes.

Previously, she was an associate in the Securities Law Practice Group of Stark & Stark where she advised investment advisers, broker-dealers, funds and other securities professionals on compliance, risk management, and corporate issues.

Ms. Swayze received a dual BAH (Bachelor of the Arts, Honors Major) and BA degrees from Villanova University and a juris doctor from Rutgers University School of Law. Ms. Swayze is a member of the bar of New Jersey.

Words From Our Wonderful Clients

“I came to Swayze LLC from [another consulting firm]. I discovered that my ADV was wrong and there were items in my compliance manual that I was supposed to be doing that didn’t even apply to my business. I was paying twice as much with this other firm. With Swayze LLC I can now sleep at night—at least about compliance issues.”
“I sent Ashleigh a document. It was the first time I spoke to a lawyer who reviewed the document and was prepared before our call!”
“I got to hear Ms. Swayze speak and I learned more about compliance and my business in 30 minutes than I have in the last year.”
“Ashleigh really takes the time to know my business. She helped me figure out the best custodian for my business model when I was overwhelmed with options, but never made me feel pressured.”
“The day I resigned was very stressful. I think I called Ashleigh a dozen times! I truly appreciate the personalized service.”
“Swayze, LLC takes the mystery out of starting an RIA.”
“I am always amazed that I am never rushed off the phone like have been with other firms.”
“Compliance is just not something I feel comfortable with and I feel like Swayze LLC always has my back.”

Contact us today to schedule a consultation and discuss your options.

contact us

Back to Top