Our Team
Our Team
Alisha Dowell
Director, Compliance Services
Alisha Dowell graduated with a bachelor’s degree in criminal justice and a Master of Business Administration from Southeastern University. She started her career in financial services and compliance with the Florida Office of Financial Regulation serving as a securities examiner, trainer, data analyst and government analyst throughout her years at the Office. In her role as a Securities Examiner, Alisha was responsible for the examination of State Registered Investment Advisors and Broker-Dealers throughout the state of Florida. During her time at the Florida Office of Financial Regulation, she also specialized in coordinating statewide projects and training on complex securities topics. After the Florida Office of Financial Regulation, Alisha went on to pursue an opportunity as a Securities Examiner for the District of Columbia. Alisha joined the Key Bridge Compliance team as a Consultant in October of 2019 and moved into her current role as a Director in July, 2020. Alisha is currently pursuing her Certified Fraud Examiner designation with the Association of Certified Fraud Examiners. In her free time, Alisha enjoys reading, playing board games, and spending time with her husband.
- amathis@keybridgecompliance.com
- 513-229-4624
- 31 Innovation Alley, Suite G, Covington KY 41011
Amy Mathis
Administrative Assistant
Amy joins Key Bridge with a long history of supporting financial advisors in an administrative role. Amy spent 10 years with The Huntington Investment Company and has experience working with individually owned wealth management firms, during this time she obtained her life and health license as well as the series 6 and 7 licenses. She is currently working towards a bachelor’s degree in business administration with a focus in finance from Liberty University. Amy lives in Cincinnati with her husband and son, along with their German shepherd.
- ablazejewski@keybridgecompliance.com
- 36 W Pike St, Floor Two, Covington KY 41011
Andrew Blazejewski
Consultant, Compliance Services
Andrew is a highly accomplished Consultant at Key Bridge Compliance, LLC, with a solid background in legal compliance. He brings valuable expertise from his previous role at Great American Life Insurance Group. Andrew is deeply committed to professional growth and continuously expands his industry knowledge and education to stay updated with regulations, trends, and best practices. Beyond his professional pursuits, Andrew leads an active lifestyle. He enjoys running at Paycor Stadium and traveling any chance he gets. With a strong compliance background, dedication to ongoing learning, and a well-rounded lifestyle, Andrew exemplifies a consummate professional who consistently strives for excellence in both his personal and professional endeavors.
Anisha Varatharajah
Consultant, Marketing
- bdechow@keybridgecompliance.com
- 36 West Pike St, Covington, KY 41011
Brian Dechow
Senior Consultant, Compliance Services
Brian Dechow is a Senior Consultant at Key Bridge Compliance. He previously served as a Compliance Intern at Key Bridge prior to joining the firm full time after graduation as a Compliance Analyst. Brian graduated Summa Cum Laude from Xavier University earning a Bachelor of Science in Business Administration with a major in Finance and a minor in History. While at Xavier, Brian served as Chief Compliance Officer and Energy/Utilities Manager of the D’artagnan Capital Fund, a student-run, actively-managed fund. Brian is originally from Indianapolis, Indiana and now lives in Covington, Kentucky.
- cpayne@keybridgecompliance.com
- (513) 399-8091
- 31 Innovation Alley Suite G, Covington, KY 41011
Chris Payne
Chief Operating Officer
Chris Payne serves as Chief Compliance Officer and Chief Operating Officer for Key Bridge Compliance. Chris has worked in the financial services industry since 2005, beginning in Operations and Trading, an experience that he leverages when working with his clients. Prior to joining Key Bridge Compliance, Chris worked for Graydon Compliance Solutions as Chief Compliance Officer and served as Compliance Officer for Matson Money, Inc. and Ameritas Investment Corp. He works with firms of all sizes to assist them in establishing institutional compliance practices and navigating complex regulatory issues. Chris earned his J.D. from the Salmon P. Chase College of Law at Northern Kentucky University, and his B.S. in Finance from Miami University of Ohio. Including being licensed to practice law in the state of Ohio, Chris earned the Investment Adviser Certified Compliance Professional (IACCP) designation co-sponsored by the Investment Adviser Association and National Regulatory Services. He also passed the Series 7, 24, 53, 63, and 66 examinations, as well as the Chartered Financial Analyst Level 1 examination. When he is not working, Chris enjoys reading, traveling, and relaxing with his family. Chris also currently serves on the Southwest Local School District Board of Education.
- dmason@keybridgecompliance.com
- (202) 753-7141
- 31 Innovation Alley, Suite G, Covington KY 41011
Dennis Mason
Director, Compliance Services
Dennis Mason serves as a Director for Key Bridge Compliance. Dennis has worked in the financial services industry for over 25 years. Over the course of his career, Dennis served in roles relating to bank trust operations as well as financial reporting, treasury, tax and compliance for registered investment companies. Prior to joining Key Bridge Compliance in April of 2021, Dennis served as Fund Compliance Officer at Apex Fund Services and Atlantic Fund Services where he worked to ensure the effective administration of fund service provider compliance programs and to build strong, personal relationships with clients. He also served as Chief Compliance Officer of several mutual fund series trusts including Forum Funds. Dennis earned a B.A. in Mathematics from the University of Southern Maine. Dennis earned the Investment Adviser Certified Compliance Professional (IACCP ®)designation co-sponsored by the Investment Adviser Association and National Regulatory Services.
- dtatum@keybridgecompliance.com
- 36 W. Pike St, Floor Two, Covington KY, 41011
Desaree Tatum
Consultant, Compliance Services
Desaree is a Consultant at Key Bridge Compliance, bringing over 20 years of experience in the financial services industry. She holds a Bachelor of Science Degree in Business Marketing from Wilberforce University and a Master of Business Administration from Xavier University. Desaree’s career began at Fidelity Investments, where she earned the Series 7 and 63 licensures as a Securities Trader. She later transitioned to the insurance field, obtaining a Life and Health license and working as an employee benefits consultant. Returning to investments, she gained the Series 26 certification and served as a Brokerage Operations Specialist at O.N. Equity Sales Company for eight years. With a well-rounded background spanning banking, insurance, and investments, Desaree possesses comprehensive expertise in financial services. Her primary focus lies in ensuring regulatory compliance, collaborating with Financial Advisors and the compliance team to handle documentation for new accounts and asset movement requests. Outside of her professional pursuits, Desaree enjoys exploring new culinary experiences, traveling, and cheering her two teenage sons.
- dlail@keybridgecompliance.com
- 36 W Pike St, Floor Two, Covington KY 41011
Dylan Lail
Compliance Intern
Erick Aguayo
Director, Compliance Services
Erick serves as a Director with over a decade of experience in financial services. He has extensive experience in leading compliance programs for established SEC registered investment advisers and building compliance programs for new registrants. His previous experience includes working at ACA Group as a Principal Consultant where he advised private fund managers on investment adviser compliance matters and led mock examinations. Erick also worked for two investment advisers in the Seattle, WA area including serving as the Chief Compliance Officer of Merriman Wealth Management and then the Compliance Manager for Hohimer Wealth Management. Erick earned his Bachelor of Arts in Economics from Whitman College and a Master of Science in Jurisprudence (MSJ) from Seton Hall Law School. He also holds the Investment Adviser Certified Compliance (IACCP® designation. Erick lives in Wenatchee, WA and enjoys running and traveling.
Hannah Ward
Business Intern
Hannah Ward is a Compliance Intern at Key Bridge Compliance. She is a rising junior at Mount St. Mary’s University and plays on The Mount’s Division 1 tennis team. As a business major with a concentration in marketing, she has built a strong foundation to support our business and client services. She works closely with our Director of Client Services to support our processes and strengthen Hannah’s experience within the industry.
- hcaulder@keybridgecompliance.com
Holly Caulder
Client Service and Operations Associate
Holly serves as the Client Service Project Manager at Key Bridge Compliance. In this role, she assists the Director of Client Services and senior management to ensure that clients and staff receive the support they need to achieve their goals. Previously, Holly has helped businesses grow in entrepreneurial settings. She served as an Executive Assistant and Development Associate for a nonprofit in the D.C. Metro Area and has worked in various roles at higher education institutions including program coordination, administration and marketing at the University of New Mexico, the New Mexico Institute of Mining and Technology, and Northern New Mexico College. Overall, she enjoys helping individuals and teams overcome challenges to succeed. Holly holds her Master of Business Administration in Strategic Management and Policy and received her B.A. in Strategic Communications, Political Science with a minor in Business. She enjoys spending time with her husband hiking in the mountains, baking on the weekends and doing yoga.
- imeiksins@keybridgecompliance.com
- (202) 753-6940
- 31 Innovation Alley Suite G, Covington, KY 41011
Ian Meiksins
President
Ian Meiksins joined Key Bridge Compliance shortly after its founding and has been instrumental in developing the firm’s client service model. Previously, Mr. Meiksins worked at Graydon Compliance Solutions, LLC, where he served as a Compliance Officer, Senior Compliance Officer and Chief Compliance Officer. In his role as an outsourced Chief Compliance Officer, Mr. Meiksins served Registered Investment Advisers totaling over $4 Billion in AUM. Prior to joining Graydon Compliance Solutions, Ian worked for the Human Capital Institute, an HR education and consulting Firm. Ian has earned his IACCP® (Investment Adviser Certified Compliance Professional) certification from the National Regulatory Service and is a two-time graduate from Xavier University in Cincinnati, OH earning both a bachelor’s degree and a Masters of Business Administration.
- jcalvert@keybridgecompliance.com
- (859) 287-1657
- 31 Innovation Alley, Suite G, Covington KY 41011
Jared Calvert
Director, Compliance Services
Jared Calvert serves as a Director at Key Bridge Compliance, LLC. Prior to coming to Key Bridge, Jared served Bartlett Wealth Management, an RIA with over $8 billion of AUM, as Compliance Associate, Compliance Officer, and Chief Compliance Officer over a 15-year span. Jared earned a B.S. from the University of Findlay. When he isn’t working, Jared enjoys bike riding, spending time with his family, and is a hobby bladesmith. Jared resides in Northern Kentucky with his wife, Christina, and their three children.
Joseph Arce
Director, Compliance Services
During Joseph’s past 30 years in the investment world, he has concentrated in the areas of overall operations, compliance, financial reviews, strategic initiatives, and client service. Prior to Key Bridge, Joseph was responsible for private client accounts and his duties included implementing the firm’s investment decisions, reviewing performance of client portfolios, and implementing appropriate capital management strategies. Joseph earned two BSBA degrees in financial investments and financial real estate from the University of Nevada and his MBA in finance and international business from the University of San Diego, graduating Magna Cum Laude. He and his wife live in Point Loma. He enjoys spending time with friends, playing tennis, and traveling.
- kmitts@keybridgecompliance.com
- (513) 562-1669
- 31 Innovation Alley Suite G, Covington, KY 41011
Kaley Mitts
Director of Client Service
Kaley serves as the Director of Client Service for Key Bridge Compliance. In this role, Kaley makes sure clients are receiving the highest quality service from our service teams. Kaley originally joined us from Graydon Compliance Solutions, LLC as a Compliance Officer and she uses her compliance and operations background to understand the needs of our clients. Kaley has previously spent time in various operations and investment-related roles with Broker-dealers and RIAs. Prior to joining Graydon Compliance Solutions, Kaley worked supporting Financial Advisors at several different Broker-Dealers and Registered Investment Advisers, including Fidelity, TIAA-Cref and RW Baird, where she obtained the series 7, 63, & 66 licenses. In her various roles, Kaley oversaw the client/advisor relationship, managing operations, trading and client communications. After joining Graydon Compliance Solutions in 2018, Kaley has been working with investment advisors compliance programs, primarily responsible for the day-to-day operations of clients compliance programs. Kaley graduated from the University of Kentucky in 2011 with a Bachelor of Science Degree in Business Marketing. Kaley resides in Northern Kentucky with her husband, Kevin, along with their two young sons and golden retriever.
- kmeans@keybridgecompliance.com
- 36 W Pike St, Floor Two, Covington KY 41011
Kendra Means
Consultant, Compliance Services
Kendra joins Key Bridge with a deep-rooted history of supporting financial advisors and all facets of their client’s service needs. With over 9 years’ experience in the financial services industry, she has worked for firms with over $425M and $9B in assets under management, respectively. Kendra is well versed in handling high net worth clients including complex confidentiality and servicing. She worked directly with a variety of investment advisors in managing their client’s money, maintained accounts in an organized manner, kept thorough books and records, and collaborated with third-party compliance firms. Kendra has partnered with CPA’s, legal counsel and other financial professionals for regulatory reporting. Further, Kendra has comprehensive experience with restricted securities that required working with legal counsel, transfer agents and directly with the client. She enjoys spending time with family and friends especially summer days at Lake Cumberland.
- kseymour@keybridgecompliance.com
- (202) 750-9093
Kiah Seymour
Consultant, Compliance Services
Kiah Seymour is a Consultant at Key Bridge Compliance, LLC. Prior to joining Key Bridge, Kiah served as an Account Representative at Florida Credit Union. Kiah also spent four years as a USA Track and Field Professional Athlete, during which time she was a two-time Olympic Trials semi-finalist. Kiah earned a Master’s Degree in Kinesiology and Sports Leadership from the University of Kentucky and a Bachelor of Arts in Telecommunication from Penn State. Kiah lives in D.C. with her Yorkie, Buttons.
- lward@keybridgecompliance.com
- 202-963-068
Lisa Ward
Director of Marketing Review
Lisa Ward is the Director of Marketing Review at Key Bridge Compliance, LLC. Lisa will be reviewing the marketing materials for Key Bridge Compliance. Lisa has previously worked at the SEC as an examiner for investment advisors and investment companies. She was a Director of Compliance for an investment advisory firm with assets exceeding $6 billion. Lisa also worked as a senior auditor for Bank of America where she conducted internal audits of the investment group and private bank. Lisa graduated from Seton Hall University with a BS in Accounting. She lives in Huntsville, AL with her husband.
- lchalfant@keybridgecompliance.com
- (513) 230-2730
- 31 Innovation Alley, Suite G, Covington KY 41011
Luke Chalfant
Consultant, Compliance Services
Luke Chalfant is a Consultant at Key Bridge Compliance, LLC and has been a pillar that many other colleagues and clients can rely on. He has extensive knowledge within the compliance field, a knack for communication, and is constantly looking for new ways to improve various regulatory filing processes within the firm. Further, Luke founded the Key Bridge Compliance Book Club, where every month a new book is decided upon and then later discussed in depth. Luke graduated from the University of Cincinnati College of Law after earning a B.S. in Marketing and Analytics from the Lindner College of Business. When not studying the legal and financial industries to further improve his compliance skills, Luke enjoys skiing in the winters, rock climbing in the summers, and playing board games all year round.
- mgmonzel@keybridgecompliance.com
- 36 W Pike St, Floor Two, Covington KY 41011
Mary Grace Monzel
Consultant, Compliance Services
Having worked within the business industry and legal field, Mary Grace became motivated to combine her backgrounds to put her skills to work. Within her experience throughout college and law school, she has served as an article editor for the University of Cincinnati Law Review, worked side by side as a judicial extern, and dove headfirst into commercial court law in Indiana. Outside of work, Mary Grace is extremely passionate about helping others within her community, traveling, and being outdoors. She received her B.S from the Ohio State University, her MBA from Ohio University, and her JD from Cincinnati College of Law. Mary Grace loves the outdoors, traveling, and her friends and family. Passionate about helping others, she aspires to continue to use her experiences to get involved and to create lasting connections in her community. Mary Grace received her B.S. in Journalism from the Ohio State University, then moved on to receive her MBA at Ohio University, and completed her JD with the University of Cincinnati College of Law.
Matt Giggey
Director, Compliance Services
Matt has twenty years of experience within the financial industry. He began his career in mutual fund operations at a large investment manager in Boston, where he quickly developed an interest in regulatory compliance. Matt’s natural curiosity and dedication to his work led him to take on increasingly challenging compliance roles, most recently as an Investment Advisor Consultant at ACA Global. Matt received his Bachelor’s in Business Administration from Merrimack College and currently lives in the Portland, ME with his fiancé and two daughters.
- mswendiman@keybridgecompliance.com
- (859) 468-7044
- 31 Innovation Alley Suite G, Covington, KY 41011
Matthew A. Swendiman
Chief Executive Officer
Matt began his investment management career in 1996 with a predecessor of Citi Fund Services, where he worked in the transfer agent and legal and compliance department for a large third-party mutual fund administrator. Thereafter, he served as counsel to Conseco Capital Management, a multi-billion dollar institutional investment management firm located in Carmel, IN. In 2002, Matt joined The Phoenix Companies in Hartford, CT, where he ultimately served as Chief Legal Officer and Secretary for the Phoenix (now Virtus) mutual fund complex. During his time at Phoenix, Matt earned the CLU and ChFC designations from The American College. Matt later served as an investment management associate in the Washington, DC office of K&L Gates, an international law firm. In 2006, he joined Fifth Third Bank in Cincinnati, OH, where he served as the Chief Administrative Officer for Fifth Third’s institutional investment management business. In addition to these responsibilities, Matt provided legal support to Fifth Third’s broker-dealer, insurance and custody operations. He also served as Secretary and Chief Legal Officer to the Fifth Third Funds, a mutual fund trust with twenty-four series. While at Fifth Third, Matt earned his CFA charter. Following a stint as COO to a $500 million Cincinnati-based registered investment adviser, Matt founded Graydon Compliance Solutions, LLC, an outsourced compliance consultancy offering services to RIAs across the United States and in the United Kingdom. Matt is the Chief Executive Officer of Key Bridge Compliance, LLC and is co-founder and Chairman of F/m Acceleration LLC, a back and middle office solution provider for registered investment advisers, including its subsidiary adviser, F/m Investments. F/m Acceleration is backed by private equity investor 4100 Group. Matt has earned his BA in Political Science, as well as his JD, from The Ohio State University. While in law school, he attended the Oxford University Summer Program, and has also earned his LLM in Insurance Law from the University of Connecticut.
- ngoff@keybridgecompliance.com
- 31 Innovation Alley, Suite G, Covington KY 41011
Nicole Goff
Consultant, Compliance Services
Nicole Goff serves as a Consultant at Key Bridge Compliance. Nicole has worked in various banking roles, though her passion is auditing, which she loves due to its ever-evolving nature. Most recently, Nicole served as a Senior Securities Analyst at Fifth Third Bank where she led her settlement analyst team. The role involved working closely with portfolio managers, identifying trade discrepancies, and mitigating the risks related to the trade life cycle. Nicole graduated from Wilmington College with a Bachelor’s of Science in Business Management. She is currently working towards earning her M.B.A. Nicole lives in Cincinnati with her husband and three children.
- rhopkins@keybridgecompliance.com
- (859) 309-8274
- 31 Innovation Alley, Suite G, Covington KY 41011
Robert Hopkins
Director, Compliance Services
Robert Hopkins serves as a Director for Key Bridge Compliance. Robert has worked in financial services for over a decade and he leverages his diverse experience in sales, operations, supervisory principal, and compliance roles when working with his clients. Prior to joining Key Bridge Compliance, Robert served as Senior Compliance Officer for Western & Southern Financial Group where he led the compliance programs for two of the firm’s member companies; Touchstone Investments, an actively managed mutual fund company with more than $35 billion in AUM, and Touchstone Advisors, Inc., investment advisor to Touchstone Investments. In his role, Robert led a team of compliance professionals focused on compliance program oversight & improvement, training & development, and due diligence of Touchstone’s sub-advisers. Prior to joining Western & Southern Financial Group, Robert served in the role of Manager for Fifth Third Securities, Inc. where he led a team of supervisory principals responsible for new account and sales supervision. Robert earned his Bachelor of Finance degree from Eastern Kentucky University and his Master of Business Administration from the University of Cincinnati. He has passed the FINRA Series 7, 24, 52, 53, 63, and 66 examinations, as well as the CIPM Level 1 examination. Robert lives in Cincinnati, Ohio, with his three children and his dog, Bo
Rodrigo Diaz
Compliance Intern
Rodrigo Diaz is a Compliance Intern at Key Bridge Compliance. As a Junior at the University of Cincinnati majoring in Finance, Rodrigo is passionate about creating new experiences and expanding his skillsets. He is eager to broaden his knowledge of financial services, focusing on Compliance. Rodrigo was born in Honduras and has experience working with several departments at the University. He also played tennis throughout high school and achieved the #1 ranking in Honduras.
Stacy Fleming
Director, Compliance Services
Roseann Higgins serves as a Director for Key Bridge Compliance. Roseann has spent over 25 years in the financial services industry. Over the course of her career, Roseann served in roles relating to FINRA compliance, corporate compliance, and compliance for Registered Investment Advisers, as well as working in Human Resources. Prior to joining Key Bridge Compliance, Roseann served as a Compliance Officer at Matson Money. She worked to ensure the effective administration of the firm’s compliance program and to build strong, personal relationships with the firm’s clients. Roseann’s experience extends beyond investment compliance. Before joining Matson Money, Roseann served as the Director of Compliance and Human Resources at NCP Finance in Dayton, Ohio. There she focused on all aspects of banking and lending compliance. Roseann earned a B.S. in Business Administration from Xavier University. She also earned the Project Management Certification from the Xavier Center for Executive Leadership. Roseann has two grown children and lives in Cincinnati, Ohio with her husband and Norman the Rottweiler.
- sschmidt@keybridgecompliance.com
- (859) 203-4734
- 36 Pike St, Floor Two, Covington KY 41011
Sarah Schmidt
Consultant, Compliance Services
Sarah Schmidt is a Consultant at Key Bridge Compliance and supports her clients’ compliance programs through testing, marketing review, and by completing regulatory filings. She graduated from the University of Cincinnati with a Bachelor’s of Science in Environmental Studies and a minor in paralegal studies. While being a full-time student she also served as the Vice-President for UC’s pre-law club, treasurer for the Environmental Action and Protection Club, and continues to volunteer for Cincinnati Parks. Sarah previously worked for Keating, Muething, and Klekamp, PLL in the Information Resource Center as the CLE Coordinator and Legal Research Assistant. There she was able to build a strong foundation in the legal and compliance world. Also during that time she served as secretary on the Women’s Initiative Committee and promoted professional development for attorneys, as well as support staff. Sarah is known for her ambition to help others and better her community of Cincinnati. Outside of work she runs half marathons, collects indoor plants, and lives with her labradoodle, Casper.
- tolvera@keybridgecompliance.com
- Dayton, OH
Tanya Olvera
Director, Compliance Services
- tgray@keybridgecompliance.com
- 31 Innovation Alley, Suite G, Covington KY 41011
Terence Gray
Consultant, Compliance Services
Terence Gray is a Consultant for Key Bridge Compliance. Terence has worked in the financial services industry for over 15 years and has served in roles as a Contracting, Licensing, & Registration Specialist, Compliance Analyst, and Compliance Associate for various Broker/ dealers, Registered Investment Adviser Firms, and Life & Annuity Insurance Companies. Most recently, Terence role as a Compliance Associate involved working with Registered Investment Advisers to conduct due diligence over Adviser Onboarding & Licensing, Form U4, U5 filings, and ADV Part 1 and 2B reviews and amendments. Terence’s responsibilities also extended to Annual Branch Audits, Email, Marketing, and Social Media Reviews. Terence is a Graduate of Cincinnati State College and Xavier University in Cincinnati, OH.
Thomas Kerney, CIMA®
Director, Compliance Services
Thomas Kerney is a Director for Key Bridge Compliance with over fifteen years of industry experience that includes financial advising, investment banking, and equity trading. Prior to joining Key Bridge, Thomas served as the leader of a turnkey asset management platform and launched Early, a fintech company that connected emerging managers in private equity and real estate to institutional investors. Previously, Thomas served as the President & Chief Compliance Officer of Hanover Securities; an investment firm focused on Small Business Administration loans. In this role, Thomas managed the broker-dealer’s regulatory relationships, supervision, due diligence, and partnerships. Thomas also founded a consulting practice that worked with investment firms on corporate strategy, mergers & acquisitions, operations, risk management, and regulatory compliance. Thomas possesses the FINRA Series 4, 7, 24, 27, 53, 55, 65, 66, 79, and 99 licenses. He holds the Certified Investment Management Analyst® (CIMA®) designation. He is currently an MBA Candidate at The University of Chicago Booth School of Business and has earned a Bachelor of Science in Small Business Administration from Northern Arizona University.
- tsolomon@keybridgecompliance.com
- (859) 402-1458
- Columbus, OH
Keisha Nakwa
Director of Talent and Culture
- tsolomon@keybridgecompliance.com
- (859) 402-1458
- Columbus, OH
Keisha Nakwa
Director of Talent and Culture
