Business Management

Business Management Biographies

Tom Rose, CPA

Chief Financial Officer
  • Responsible for financial, compliance, regulatory and operational matters.
  • Formerly CFO and Managing Director for J.W. Seligman & Co., where he served senior financial and operational roles from 1992 to 2010.
  • Prior to J.W. Seligman, he was Treasurer and Principal Financial Officer for American Advisors, Inc from 1987 to 1992 and Manager at PriceWaterhouseCoopers.
  • Education: BBA from Pace University.

Vanessa A. Williams

CHIEF COMPLIANCE OFFICER
  • Responsible for administration of the compliance programs.
  • Formerly Vice President, Senior Compliance Officer at Legg Mason & Co, LLC where she has served since 2005. Before joining Legg Mason, she was a Compliance Analyst at Citigroup Asset Management (Acquired by Legg Mason & Co, LLC Dec. 2005) and a Complaint and Litigation Analyst at Lincoln Financial Advisors.
  • Education: BA from Lehigh University