Carole Lombardi serves as the Director of Operations where she is responsible for overseeing the firm's day-to-day operational infrastructure and client service delivery model. In this role, she leads the design and execution of workflows supporting scalable systems that foster both client engagement and business expansion. Carole works closely with firm leadership to implement technology solutions, streamline processes, and ensure the organization operates efficiently while maintaining the highest standards of compliance and client experience.
Carole brings over 15 years of experience in the financial services industry, specializing in operations and compliance with registered investment advisor firms. Prior to joining the firm, she served as the Operations and Compliance Manager at an RIA where she was responsible for the firm's regulatory program, including annual compliance reviews and SEC audit readiness. She led key initiatives across client onboarding, billing reconciliation, and portfolio reporting while managing a team of client service professionals to deliver a high-touch client experience.
Carole graduated from John Jay College with a B.S. in Criminal Justice.
Carole is also an avid animal lover who is actively involved with rescuing animals in need and finding them suitable homes. She spends her spare time on the beach somewhere or watching a Yankee game!