Kurt Wachholz Promoted to Senior Managing Director and Compliance Practice Lead

Bates Group is pleased to announce that Kurt Wachholz, IACCP will be leading our BD-RIA Compliance team as Senior Managing Director. 

Kurt brings more than 35 years of financial industry experience, having served in senior compliance roles at broker-dealers, investment advisers, and private fund firms before joining Bates Group. That foundation informs every engagement he leads today.

In his expanded role, Kurt will lead the strategy and standards for our BD-RIA practice, drawing on a career spanning mock examinations, program reviews, policy development, cybersecurity assessments, business continuity planning, and third-party due diligence. He has extensive experience with both SEC and FINRA examinations, and previously served as Director of Education for the Investment Adviser Certified Compliance Professional (IACCP®) designation, a program he helped shape for the broader industry.

Congratulations to Kurt on his new role and this well-earned recognition!