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A Better Partnership

Dana R. Dawe

Senior Compliance Consultant | Email

  • Grand Rapids

    t. +1.616.752.2526

    f. +1.616.222.2526


With more than 25 years’ experience, Dana Dawe has handled regulatory compliance in the financial services industry for SEC-registered investment advisers, broker-dealers, and nonprofit securities issuers. He has worked as Chief Compliance Officer for bank-affiliated and accounting firm-affiliated investment advisers and broker-dealers in retail, institutional, mutual fund and M&A settings. Dana fosters a culture of compliance by effectively disseminating and communicating regulatory requirements and compliance strategies. Having also worked on the sales side of the securities business, he offers clients a front-line, common-sense approach. As a securities compliance consultant, Dana is not licensed to practice law, so he works closely with and under the supervision of attorneys in our Funds and Investment Services Practice Group.


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  • Reviews compliance with state blue sky laws applicable to the issuance of securities and the sale and promotion of securities by nonprofits, broker-dealers, agents, and issuer-agents
  • Assists with preparation and review of annual business history information for officers, directors and other control persons
  • Prepares and files state securities law applications with all states that require a filing for either the registration of securities, broker-dealers, agents, or issuer agents, or securing an exemption from registration requirements, including Forms U-1, U-2, U-2A, U-4, U-5, BD and state specific forms
  • Develops good working relationships with state securities law regulators in connection with the authorization of nonprofit offering documents and securities law compliance issues generally
  • Reviews and files supplemental offering materials with all the states where required
  • Reviews for compliance all proposed advertising materials for nonprofit securities offerings, including filing with states where required
  • Prepares and files agent registrations and renewals with states that require a filing
  • Maintains up to date information about securities laws and compliance in all 50 states and US territories
  • Maintains records of annual offering documents and registration forms
  • Prepares and conducts broker-dealer and investment adviser mock regulatory examinations, SEC and FINRA
  • Conducts FINRA Rule 3012/3013 testing and reporting
  • Conducts Investment Adviser's Act Rule 206(4)-7 reviews
  • Develops and tailors supervisory systems and written supervisory procedures
  • Prepares disclosure documents such as ADV Parts 2A and 2B
  • Performs routine and "For Cause" Broker-Dealer Branch and OSJ audits
  • Conducts independent AML Program testing and reporting
  • Performs "For Cause" investigations
  • Designs and drafts M&A and capital markets compliance systems, policies and procedures
  • Provides expert guidance in securities cases
  • Conducts M&A due diligence on brokerage firms and investment advisers
  • Consults for regulatory consent decree and enforcement projects
  • Performs enterprise supervisory structure assessments
  • Registers broker-dealers and investment advisers with state and federal regulators
  • Reviews sales literature and advertising for compliance with SEC and FINRA rules and regulations
  • Sets up books and records/compliance infrastructure for newly registered BD's and RIA's
  • Conducts operations controls reviews
  • Provides FINOP and CCO outsourcing support services
  • Private placement and Reg. D compliance
  • Reviews private placement memoranda
  • Designs and reviews continuing education programs
  • Assists with business continuity planning
  • Plans and develops information security programs and written policies
  • Provides international consulting for foreign firms considering U.S. securities registration and licensing

Honors & Awards


Professional Affiliations

  • Financial Industry Regulatory Authority
    Member, Board of Arbitrators (1995-Present)
  • National Society of Compliance Professionals
    Member (1994-Present)
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Association of Certified Anti-Money Laundering Specialists
    Member (2007-Present)

Speaking Engagements

  • "The Modernized Marketing Rule," Virtual CCO Roundtable, March 3, 2021


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