Former SEC Leader Robert Baker Joins ACA Group's Tech-Enabled Mock Examination Team

We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group (ACA) as a Managing Director, bringing nearly two decades of experience from various leadership roles in the Examination and Enforcement Divisions at the U.S. Securities and Exchange Commission (SEC). Robert will co-lead our tech-enabled Mock Examination Team alongside Michele Foldenauer, combining their extensive SEC expertise to support ACA’s leading mock exam solutions.

Robert’s extensive background includes his most recent position as Assistant Regional Director in the SEC’s Division of Examinations Investment Adviser/Investment Company examination program, where he focused extensively on Private Funds. Additionally, he was a founding member of the SEC Enforcement Division’s Asset Management Unit (AMU) where he led significant cases involving private fund advisers. In his role as Senior Advisor and Assistant Director of the AMU, he specialized in priority focus areas, including investment adviser advertising, trade allocation, fees and expenses, conflicts of interest and valuation. He was also the architect of several sweeps and technology assisted risk-based initiatives, resulting in over 100 cases.

Robert’s supervisory responsibilities also included co-chairing the SEC Boston office’s Examination and Enforcement referral committee. He was a frequent presenter at CCO outreach and other investment adviser industry conferences and earned several SEC awards for high profile cases he worked on, his data-driven initiatives, and the expertise he brought enforcing and examining the new SEC Marketing Rule. Prior to joining the SEC, Robert spent five years as an associate in the investment adviser practice group at a major law firm.

Robert earned an undergraduate degree from the University of Minnesota and a law degree from Harvard Law School. During his time with the SEC, Robert also earned a graduate Certificate in Advanced Financial Planning from Bentley University and became a CFA Charterholder.

Robert brings unique experience in examination and enforcement priorities to both our clients and our advisory team. His expertise includes direct experience with the SEC’s examination and enforcement of private fund advisers, and he will be able to provide counsel on how private fund advisers can proactively address risks as they prepare for a regulatory review.

How we help

With former regulators and examiners as well as in-house senior compliance professionals on our team, we are expertly placed to help you prepare for an examination, review your compliance program, and update your manual and policies and procedures.

Reach out to your ACA consultant or contact us directly to learn how we can help you launch, grow, and protect your firm.