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Brooke Billick is a Bates Consulting Expert with more than 40 years of experience in the Financial Services Industry. His business areas of expertise include mutual funds, asset management, and broker-dealer activities in retail and institutional channels. Specific areas of mutual fund expertise include fund and board governance, legal, risk management, operations, internal controls, compliance, regulation, reporting, distribution, marketing, and oversight of third-party service providers. Brooke’s cumulative experience gives him a unique understanding of asset management, brokerage, trust, and fiduciary responsibilities in multi-faceted regulatory environments.
Prior to joining Bates Group, Brooke spent 16 years with Artisan Partners Limited Partnership where he was Chief Compliance Officer and Associate Counsel as well as Chief Compliance Officer of Artisan Partners Funds, which collectively held $168 billion in AUM. He was responsible for developing, administering, and evaluating the effectiveness of written compliance programs and controls covering all its operational areas. Key additional responsibilities at Artisan Partners included guiding and supporting initiatives relating to risk management and mitigation, internal controls, data privacy and cybersecurity protection, asset valuation and liquidity, distribution practices, and responses to regulatory developments.
Before Artisan Partners, Brooke was a senior executive officer with Marshall & Ilsley Trust Company, M&I Investment Management Corporation, and the Marshall Funds. Brooke was also general counsel to M&I’s investment management, mutual fund, ERISA collective trust, separate account, and securities lending operations. He was also responsible for corporate governance and administration for the Marshall Funds board of directors.
Brooke began his career in private practice where he specialized in corporate and securities law serving securities brokerage firms, registered representatives, investment advisers, and public and privately held companies.
Brooke has significant examination and liaison experience with various regulatory bodies including the SEC, FINRA, OCC, Federal Reserve, DOL, and others. Over the past 16 years, he has served on key CCO committees with the Investment Company Institute and has presented at numerous ICI and industry conferences.
Bates Group LLC, Consulting Expert, 2021 – Present
Artisan Partners Limited Partnership, Chief Compliance Officer and Associate Counsel, Artisan Partners Limited Partnership, Chief Compliance Officer and AML Officer, Artisan Partners Funds, Chief Compliance Officer and AML Officer, Artisan Partners Distributors LLC, Milwaukee, WI, 2004 – 2020
Marshall & Ilsley Trust Company, Vice President, Securities Counsel and Corporate Secretary, Chief Legal Officer, M&I Investment Management Corp., Chief Legal Officer and Secretary, Marshall Funds, Milwaukee, WI, 1994 – 2003
Gibbs, Roper, Loots & Williams, Associate, Partner and Shareholder, Milwaukee, WI, 1979 – 1994
Juris Doctor (JD), with distinction, University of Iowa College of Law, Iowa City, IA
Bachelor of Science (BS), Industrial Administration (Finance), Iowa State University, Ames, IA
Member, State Bar of Wisconsin, 1979 - Present
FINRA Registrations, Series 6, 22, 26, 39 and 63
Investment Company Institute (ICI); Member, Chief Compliance Officer, Advisory Issues, and AML Committees, 2004-2020; Moderator and panelist, ICI Mutual Fund Compliance and General Membership meetings, 2011, 2013, 2015, 2017, 2019
Next Act Theater, Inc., Treasurer and Member, Board of Directors, 2020 - present
