Building Dynamic Relationships.

Cynthia L. Mills

Principal Attorney & Lead Consultant

Cynthia's introduction to the investment advisory area began with a family office position as a Staff Accountant assisting the Senior Investment Accountant, for eight years. Following as a Legal Assistant and Contracts Administrator for separate account clients in the legal department at Trust Company of the West ("TCW"), a registered investment adviser, located in downtown Los Angeles, for over five years. While working at TCW, she simultaneously earned her law degree.  She joined Advisor Solutions Group ("ASG"), a compliance services firm located in Newport Beach, serving entrepreneurial investment advisers, first as a Compliance Analyst researching regulatory laws/rules and auditing clients files then subsequently as a Compliance Consultant responsible for approximately 35 clients, for over four years.  Additionally, she was responsible for introducing the commodities line of business to ASG and solely managed clients with commodities regulatory requirements, interfacing with the National Futures Association, a self-regulatory organization designated by the federal governing agency - Commodity Futures Trade Commission.  Cynthia has been in the compliance industry for over 15 years and as a practicing lawyer/consultant for approximately 10 years.

Loyola Law School, JD
Licensed to practice law in California  

Michael R. Quinn

Of Counsel & Senior Consultant

Michael has a long and rich career in the legal and investment advisory space.  He has vast knowledge of the investment industry over the 30 plus years of his professional career.  Michael has worked for the big law fims, had his own law firm (twice), and held the position as a CEO of a family office.  Of relevance, Michael worked at Trust Company of the West ("TCW"), as a Senior Vice President in the legal department, a registered investment adviser, located in downtown Los Angeles, for eight years. He had significant supervisory responsibilities for legal and regulatory compliance in a myriad of areas, such as contract negotiations, trading, and regulatory compliance with respect to contract formation and documentation, marketing reviews, performance analytics/reporting, proxy voting, and client suitability.  

University of Southern California, JD
Licensed to practice law in California  

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Our Office —
1901 Avenue of the Stars, Suite 287
Los Angeles, CA 90067
(213) 873-7999