Adam joined Waystone in 2024 from the anti-money laundering compliance department at Interactive Brokers (IBKR). As a member of the Enhanced Due Diligence team, he evaluated the AML, sanctions, trade surveillance, and broader financial crime compliance programs of IBKR’s foreign financial institution clients, providing risk-based recommendations for client onboarding, monitoring, and retention. Prior to joining IBKR, Adam worked as a law clerk for National Indemnity Company where he conducted legal and regulatory research on nationwide commercial insurance issues. He also worked at Acadia Legacy Group, a family office where he assisted with investment research.
Adam is based in Waystone’s Chicago office where he primarily assists investment advisers with regulatory registrations and filings as well as the development, maintenance, and administration of their compliance programs. He also leads Waystone’s Form D and Blue Sky filing team.
Adam obtained his Juris Doctor with certificates in Business Law and Compliance and Risk Management at Drake University Law School. While in law school, Adam worked as a student attorney at the school’s entrepreneurial/transactional legal clinic and served as the Associate Editor of the Drake Law Review. Adam earned a B.A. from Doane University with a triple major in Economics, Business Administration, and Law Politics and Society. Adam is a Certified Anti-Money Laundering Specialist and has previously passed the FINRA SIE examination.
