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Meet Our Team

BORIS ONEFATER, CPA, CGMA
Managing Partner and Founder

Since he founded Constellation in 2008, Boris has focused his efforts on working with traditional and alternative investment management clients, and assisting investors with their due diligence, accounting, compliance and infrastructure needs. Boris serves as an independent expert in the resolution of disputes, including valuation matters and industry standard of care, among other investment management issues. A seasoned executive with over 25 years of investment management experience, Boris is a member of boards of directors and special advisory boards for investment management and alternative investment management firms. Previously Boris served as CEO, CFO and COO at Dreman Value Management, a $20 billion asset management firm, and Partner and National Hedge Fund Director at Deloitte, where he built and managed the firm’s investment management consulting practice. Other roles include CFO of a hedge fund, Vice President in charge of accounting and administration, and Controller at an investment management firm. Boris received his B.S. degree in Accounting and Finance at New York University and is a Certified Public Accountant in the State of New York.

GREG FARRINGTON
Partner

Since joining Constellation in early 2009, Greg has focused his efforts directing teams on buy side due diligence, regulatory and compliance requirements, operational assessments, internal controls, and working with traditional and alternative investment management clients and their institutional allocators. Across Constellation’s client base, Greg coordinates relationships with executive management, and oversees project execution teams for formal reporting and remediation of any potential concerns of clients. He is responsible for the due diligence and consultative services lines as well as the implementation and ongoing maintenance of client regulatory and compliance programs, including directing teams in response to a client’s regulatory examination or inquiry. Greg has extensive expertise advising hedge funds, private equity firms, investment advisors, endowments, foundations, trusts, family offices, high net worth individuals, fund administrators, prime brokers, and other financial institutions. Prior to Constellation, Greg was employed with Deloitte & Touche where he was responsible for the delivery of alternative investment consultative and attest services to hedge funds and private equity firms. Greg received his Bachelor’s degree with a Double Major in Finance and Economics at the University of Western Ontario. Professional affiliations include the Investment Banking Institute and CAIA.

CHUCK DALY, ESQ.
Partner

Chuck leads the charge on all regulatory and compliance engagements at Constellation. He has extensive experience working with traditional and alternative investment managers on regulatory compliance requirements, structures and programs, ongoing compliance monitoring, testing protocols and the management and coordination of regulatory exams and reviews. Prior to Constellation, Chuck was the Head of Regulatory and Compliance Services at JPMorgan Chase Bank where he led a team of 54 professionals that provided fund administration, regulatory, and post-trade compliance support for investment company, investment advisory and pension plan clients. He also served as the CCO and Counsel at Ironwood Investment Management, Senior Regulatory Counsel at BISYS Fund Services and Associate at Goodwin Procter. Chuck received his JD/MBA (magna cum laude) from Syracuse University and his Bachelors at The American University. He is a member of the ABA and is admitted in The Commonwealth of Massachusetts.

ROB HERRIOTT
Executive Director

As a senior member of the Constellation team, Rob leverages his 20-plus years of experience in government and the private sector to assist clients in governmental risk, due diligence, service provider selection, and dispute resolution issues. Rob has served in key strategic and legislative development roles in the U.S. Congress, working with the committees of jurisdiction in the areas of banking and financial services. He liaises with regulatory agencies and works to assist clients in understanding and communicating the ever-changing legislative and regulatory environment. Over the past several years, along with executing client engagements, Rob has served as a consulting expert in disputes arising from suitability issues, service provider responsibilities, and operational due diligence, among others. He has spoken domestically and internationally on investment management issues, and particularly on those pending before governmental entities. In addition to his work with Constellation, Rob serves on the Board of Directors for investment management and charitable organizations.

ALAN BYRNE
Chief Operations Officer

Alan brings 17-plus years of global corporate banking experience to the role of managing the day-to-day operations of the firm. His deep understanding of strategy, process improvement and business analytics enable him to help Constellation deliver to its clients. Prior to joining the firm, Alan spent 9 years at Citibank managing strategic projects and product-level business & financial analytics. He holds a Bachelor’s degree, with honors, in Financial Services from University College Dublin, Ireland and a Master’s in Data Analytics & Research from Queens College of the City University of New York.

CARLY SHAPIRO ANDERSON, CPA, CGMA
Director

At Constellation, Carly partners with public and private entities as an outsourced CFO. She also performs valuations and analyzes financial transactions for a wide variety of clients.  She is instrumental in evaluating accounting and audit issues arising from dispute resolution matters. A senior financial services consultant with over 10 years of experience, she has provided consulting, valuation, accounting, audit, assurance and risk management services for investment managers, advisors, private equity funds, hedge funds, fund of funds, and other financial institutions. Carly has an in-depth understanding of accounting processes and operations, including U.S. GAAP and OCBOA methods. Before joining Constellation, she spent six years as a Manager of Deloitte’s Investment Management audit division. She holds a B.S. Honors Degree in Accounting with a Double Minor in Economics and Management Information Systems from the University of Delaware. Professional affiliations include the AICPA, NYSSCPA, ACFE, and is a member of 100 Women in Hedge Funds.

GILA LEE ADATO, ESQ.
Director

Gila serves on Constellation’s Regulatory & Compliance team. A licensed attorney admitted in New York and California, Gila brings extensive, hands-on experience in FINRA, SEC, NFA, CFTC, and MSRB matters, and leads projects supporting the development, maintenance, and monitoring of client compliance programs. Gila began her career in financial services at Goldman Sachs, reviewing multi-million dollar ISDA agreements, before joining Pali Capital, Inc., a boutique broker dealer serving institutions and high net worth individuals. During her six year tenure at Pali Capital, Inc., she built and ran the legal and compliance departments and was ultimately named the Head of Compliance and Chief Legal Officer, where she oversaw the growth of the firm from a single New York office to locations across the US and Europe. Gila subsequently supervised compliance matters at Marco Polo Securities, a Wall Street-based broker dealer, before moving to California, maintaining a private, New York-based, bi-coastal securities law and compliance consulting practice and serving as the primary consultant for in-house legal and investment advisory matters for RND Consulting. Gila holds Series 7, 63, and 24 licenses and has completed the FINRA/Wharton Certified Regulatory and Compliance Professional (CRCP) Program.

PAUL MATTESSICH, MBA
Director

Mr. Paul Mattessich is responsible for the oversight and provision of advisory and support services to Constellation’s clients regarding their finance and investment operations, middle office infrastructure, information technology, and due diligence needs. Mr. Mattessich has over 16 years of experience with buy side investment management firms, multi-family offices, and custodial banks. He has extensive background in leading middle and back office operations within the alternative and traditional asset management space. Prior to his role at Constellation, Mr. Mattessich was the Director of Operations of Dreman Value Management, a $20 billion asset management firm where he managed a team of investment operations professionals responsible for all middle office functions including investment accounting, reconciliation, trade support, cash management, collateral management, security valuation, corporate actions, proxy voting and client reporting. Additionally, he served as Director of Operations of a $600 million multi-family office where he managed the day-to-day operations of the firm, including information technology, compliance, administration, finance, human resources, and facilities. Mr. Mattessich received his bachelor’s degree in Global Economics from Richard Stockton College of New Jersey and a MBA in Finance and Real Estate Investments from Rutgers School of Business.

MARTIN FAWZY
Director

Martin joined the Regulatory and Compliance team at Constellation with 20 years of compliance leadership experience at registered investment advisers, hedge funds and mutual fund administrators. Martin’s previous roles have ranged from Chief Compliance Officer of a $5 billion boutique equity adviser, to Vice President in the legal/compliance team of Symphony Asset Management LLC, an $18+ billion multi-asset class adviser and subsidiary of Nuveen Investments, Inc. He brings extensive knowledge of the Investment Advisers Act, the Investment Company Act, Reg D, FINRA rules, CFTC rules, ERISA, AML, and GIPS. Martin specializes in applying a risk-based approach to constructing and administering compliance programs tailored for separate accounts, mutual funds, exchange-traded funds, wrap accounts, and hedge funds. His expertise includes policies and procedures, monitoring, code of ethics, pay-to-play, due diligence, marketing material, SEC filings, and annual compliance review. Martin earned the Certified Fiduciary & Investment Risk Specialist (CFIRS) designation from Cannon Financial Institute, passed FINRA Series 7 and Series 63 license examinations, and received his B.A. Degree in finance and management from the University of Pittsburgh.

CHRISTOPHER JOHNSON
Associate Director

Chris is responsible for valuation, due diligence, strategy, and consulting services for asset managers including competitor analysis and product positioning, internal controls, cost reduction, service provider and technology selection, business planning, and investor reporting. He has managed major due diligence assessments for asset manager clients as well as developed and implemented due diligence procedures for institutional investors regarding targeted alternative asset managers. Chris also has experience implementing Dodd-Frank related compliance reporting for hedge funds and private equity firms, such as SEC Form PF and NFA Form PQR. Prior to joining Constellation, Chris was a Manager at a national litigation and consulting firm, focusing on providing valuation, risk management and strategic advisory services in financial services-related matters. He holds MBA and MS degrees from Carnegie Mellon University as well as Bachelor’s degrees in English and Economics from the University of Maine.

ADAM TOWNE, CPA
Associate Director

With almost a decade of providing clients with tax compliance advice and general financial services consulting, Adam works with Constellation’s hedge fund clients as an outsourced CFO and tax specialist. He has leveraged his broad industry knowledge in advising investment managers, private equity funds, hedge funds, fund-of-funds, broker-dealers, operating companies and individuals. Adam specializes in fund structuring, financial analysis, financial statement preparation, audit assistance, risk reporting and DDQ, tax credits, and tax compliance for hedge funds and private equity firms. Before Constellation, Adam was a Tax Supervisor at Spicer Jeffries and served on the Tax Staff at Joseph Decosimo and Company. He earned his BBA in Management Consulting at Mercer University. Professional affiliations include the American Institute of Certified Public Accountants and Colorado Society of Certified Public Accountants.

LEIGH EMERY
Associate Director

Leigh is a member of the Regulatory & Compliance team at Constellation. Her background provides a unique perspective, as it includes a combination of in-house and consulting positions in the banking and securities compliance industries. Leigh began her career as an operations supervisor with what is now Investors Bank, and subsequently became a branch manager for Bank of America. Later, Leigh moved into securities compliance at a New Jersey based investment adviser, where she managed the firm’s client services and compliance departments nationwide. Later, Leigh stepped into the consulting realm, advising various SEC and state registered investment advisers regarding all compliance needs, including annual reviews and mock examinations, drafting of policies and procedures, custom testing, employee training and the preparation of various regulatory filings. Before coming back to the consulting side here at Constellation, Leigh was a member of the Legal & Compliance team at GSO Capital Partners, the credit arm of Blackstone. Leigh received her B.S. in Business Management from the University of Phoenix, a Certification of Professional Achievement in Business (Finance) from Columbia University with honors, and is currently pursuing a Master of Science in Jurisprudence in Financial Services Law from Seton Hall University School of Law.

GARY GAULDIE, CA(SA)
Associate Director

Gary executes on all accounting related services within the CFO services team. He has over ten years of experience in public accounting with an emphasis on accounting, audit and assurance services in the private client services sector. Previously, he was an audit manager at a public accounting firm in New York, NY. Gary has spent a number of years working with clients in a range of industries. He has an in-depth understanding of accounting processes and operations, U.S. GAAP, and OCBOA methods; implementation and maintenance of accounting policies and systems; financial statement preparation and analysis; assessing audit risk relating to revenue recognition. He also has an understanding of fair value accounting and the requirements of ASC 820. Gary is a member of the South African Institute of Chartered Accountants (SAICA) and a member of the Association of Chartered Accountants in the US (ACAUS).

NANCY O'HEARN
Associate Director

Nancy brings 20 years of institutional capital markets experience to the Constellation’s Regulatory and Compliance team. She began her career as a Trader/Portfolio Manager with Navellier & Associates. She then spent 10 years at Banc of America Securities where she was Managing Director of Prime Trading, an outsourced buy-side desk within its prime brokerage. She has spent the past five years working as a Compliance Consultant, with a focus on RIA compliance and trade desk operations & technology. Nancy received her MBA in Finance from San Francisco State University and her Bachelor’s degree in Social Science from University of California, Berkeley. Nancy holds DINRA Series 7, 9/10, 24, 55, 63 and 65 licenses. Professional Affiliations include NASDAQ Institutional Traders Advisory Committee, National Organization of Investment Professionals, 100 Women in Finance and the California Hedge Fund Association.

DEIRDRE STEEL
Senior Associate

Deirdre is experienced in providing financial due diligence, strategy, operations, compliance, and management consulting services. Prior to joining Constellation, Deirdre worked as an Associate in the Advisory practice of a “Big Four” accounting firm, specifically within Management Consulting and Deal Advisory. Her role involved formal observations and data analytics, as well as implementing process improvement initiatives. Within Deal Advisory, Deirdre provided buy-side mergers and acquisitions support by analyzing key financial performance metrics and identifying historical operating trends. She assisted private equity clients enhance the value of potential acquisitions, and gain a greater understanding of critical deal issues by performing quality of earnings and working capital evaluations, as well as historical performance and forecast achievability. Deirdre received a BBA in Finance from the University of Florida.

MATT FISHER
Senior Associate

At Constellation Matt provides clients with outsourced CFO and tax services. Prior to joining Constellation, Matt spent over four years in PricewaterhouseCoopers’ Private Company Services group performing tax compliance services to a diverse client portfolio, including private equity funds and family offices. He earned his B.S. in Economics with a concentration in Finance at James Madison University and his Certificate in Accounting at Fairfield University.

STEVEN FRIEDMAN, ESQ.
Senior Associate

Prior to joining Constellation's Regulatory & Compliance team, Steven was a Legal Specialist at Allianz Global Investors. In this role he worked on a variety of legal issues encompassing the Investment Company Act of 1940, state lobbying/gift laws, corporate governance and other securities laws. Steven started his legal career at AllianzGI as a summer intern in 2013. Prior to that, Steven was the Legislative Director to New York Assemblyman Charles Lavine. While at the Assembly, Steven oversaw the passage of over thirty bills through both houses of the Legislature. Steven was an intern at Albany Law School’s Civil Rights and Disability Law Clinic when it received the Albany City Human Rights Recognition. He also interned at the Nassau County District Attorney’s Office during the summer of 2012. A former small business owner, Steven incorporated eCampaign Solutions and provided social media consulting for clients ranging from an elected state official to a city court judge. He was recognized by City and State as a "40 under 40" Rising Star in 2014. Steven earned his Bachelor’s Degree in History from the University at Albany and his Juris Doctor from Albany Law School. He is a licensed attorney in New York.

SAMUEL RIVERA, ESQ
Senior Manager

Sam is a Senior Manager on Constellation’s Compliance team. A licensed attorney admitted in New York and New Jersey, Sam has previously served as a regulator and in-house counsel to firms managing alternative mutual funds. Prior to joining Constellation, Sam was an attorney at the Financial Industry Regulatory Authority (FINRA), providing interpretive guidance on new and existing FINRA rules to FINRA staff and member firms. In that role, he advised on numerous ongoing FINRA examinations and dealt extensively with firms subject to SEC and CFTC rules and those of various exchanges and SROs, including NYSE, NASDAQ, BATS, Direct Edge, MIAX, ISE, and the NFA. Sam has also represented FINRA Member Regulation before the National Adjudicatory Council on appeal and has a depth of knowledge with regard to cybersecurity standards, small firm examinations and membership applications (both NMAs and CMAs). Before his time at FINRA, Sam was the Assistant General Counsel of Equinox Funds, advising RIA, CPO and broker-dealer senior management, compliance experts and staff. He also assisted with the structuring and development of ‘40 Act funds, managing regulatory filings, third-party vendor relationships and corporate governance. Sam earned his juris doctor at the Benjamin N. Cardozo School of Law, where he graduated as an E. Nathaniel Gates Scholar, and received his bachelor’s degree in history (summa cum laude) from St. Francis College.

ANASTASIA BORUKHOV
Senior Manager

Anastasia Borukhov is a member of the regulatory and compliance group at Constellation. Prior to joining Constellation, Anastasia was a Compliance Analyst at Partner Fund Management (PFM). Before PFM, Anastasia was a member of Legal and Compliance team at a global, Swiss based private markets investment firm. Anastasia has experience in dealing with the regulatory and compliance issues affecting hedge funds and private equity firms in the US and foreign jurisdictions. Anastasia earned her Bachelor’s Degree from Saint Mary’s College of California in Business Economics.

TRAVIS GERRITY, CPA
Senior Manager

Travis is a Manager at Constellation where he focuses on working with hedge fund clients as an outsourced CFO as well as assisting clients with Form PF and CPO-PQR filings. He has experience working for a third party administrator as well as a background in public accounting providing audit and tax services to investment managers, private equity funds, hedge funds, fund-of- funds and broker-dealers. Travis is experienced in financial statement preparation and analysis, recalculation and analysis of management fees, carried interest/waterfall calculations, performance returns, capital calls, distributions and financial highlights. He has also has an in-depth understanding of fair value accounting and the requirements of ASC 820 and ASC 815.

LINDSAY SMITH
Human Resources Manager

Lindsay has crafted over 10 years of experience in the management and professional development field. Lindsay joined Constellation in 2014. In her role as Human Resources Manager, Lindsay oversees aspects of recruiting, on boarding, employee benefits, talent-development, performance management and employee well-being. Lindsay was previously the Assistant Vice President for a retail bank in North Carolina. Prior to that, she spent many years in Marketing and Training at a small community bank. She obtained Her Bachelor’s Degree at Champlain College, a private college in Vermont.

BART LECONEY
Manager

Bart received a BA in Economics from Vanderbilt University, and has spent the last 11 years working in the fixed income and equity capital markets. He began his career on the fixed income trading desk at Nollenberger Capital, a $1.5 billion private wealth manager in San Francisco. After two years, he transitioned to the global trading firm Susquehanna International Group, where he spent four years covering institutional clients for the San Francisco Bay Area and Asia as part of the Equity & Derivative Sales group. From there he gained portfolio management experience by joining a boutique San Francisco-based Asset Manager in 2011, where he was responsible for all trading as well as co-managing their hedge fund and asset management divisions. In 2014, Bart joined Constellation Advisors and launched their West Coast operations, where he currently leads business development efforts.

MICHAEL HAAS
Manager

Michael is responsible for servicing the firm’s investment operations clients.   Michael  works directly with both traditional and alternative investment clients on portfolio & market value reconciliation, trade processing, and operational risk-mitigation. Michael has extensive experience working in middle office operations for both the buy-side and sell-side.  Prior to joining Constellation, Michael was the Head of Profit, Loss and Valuation for a $5.5+ billion multi-strategy alternative investment hedge fund where he oversaw front-to- back middle office support services such as OTC market value reconciliation, multi-asset price capturing, independent price testing, cash reconciliation and P&L processing.  Michael also spent several years  as a capital management analyst within the fixed income derivative operations at a global investment bank. Michael holds a BBA degree, cum laude, in corporate finance from SUNY University at Buffalo, School of Management.

VINCENT PEZZULLI, ESQ.
Manager

Vince works with SEC registered investment advisers and exempt reporting advisers with the initiation, development, maintenance, and testing of policies and procedures for the operation of compliance programs and related activities, including formal reports regarding risk management and due diligence. Vince has extensive experience in the Investment Advisers Act of 1940, the Securities and Exchange Act of 1934, SEC rules and regulations, FINRA rules and regulations, CFTC/NFA rules and regulations, and relevant regulatory filings, in addition to experience with SEC Audits and NFA Examinations. Prior to joining Constellation, as a civil litigation attorney, Vince represented clients involving real estate and construction contractual disputes. At Southern Methodist University Dedman School of Law, Vince focused on securities law and worked with mortgage backed securities pooling and servicing agreements as an intern with C-III Asset Management. Vince received his Bachelor’s degree with a Double Major in Finance and Economics from Texas Tech University Rawls College of Business. He is a licensed attorney in Texas, and his license is currently pending in New York.

RENATA MILAKNYTE
Manager

Renata is a manager at Constellation where she provides accounting services as part of CFO services team. Prior to joining Constellation, Renata worked at SEI, tier 1 administrator, where she provided administrative services to investment funds with exposure to complex fee and fund structures and a wide variety of investments (e.g. fixed income, derivatives, equities, etc). She began her career working at regional and Big 4 (EY) professional services firms, where she provided audit and advisory services to hedge funds, private equity and fund of funds. Renata has an in-depth understanding of accounting processes and operations, including U.S. GAAP, IFRS, implementation and maintenance of accounting policies and systems, reparation and analysis of financial statements. Renata received a BA in Accounting from Zicklin School of Business, Baruch College.

LUKE BLODGETT, CPA
Manager

With a background consisting of both public and private accounting for the alternative investment industry, Luke provides a variety of outsourced CFO services to Constellation’s clients. Prior to joining Constellation, Luke worked at Angelo Gordon & Co, a privately-held registered investment advisor, where he handled all areas of accounting across several complex investment funds and gained exposure working with investment products within the RMBS/CMBS markets. Luke began his career working in the assurance field at Pricewaterhouse Coopers LLP with a focus on hedge funds, private equity funds, and real estate funds. Luke has extensive knowledge of the accounting industry including daily operations, process/software implementation, quarterly/annual compliance, Financial Statement preparation, and annual assurance of U.S. GAAP through financial statement audits. Luke received a BA in Economics from the University of Rochester and received his MSA/MBA with a concentration in accounting from Northeastern University.

MICHELLE PEPE
Manager

Michelle has comprehensive experience in alternative investment management and the broker-dealer arena. She has extensive experience with private equity funds, registered investment advisors, hedge funds, and separately managed accounts, as well as broker-dealer accounting, financial reporting, and operations. Michelle has an in-depth understanding of accounting processes and operations, financial analysis and valuations, financial statement preparation and analysis, carried interest and waterfall calculations, capital calls and distributions, and middle and back office operations of private equity firms, hedge funds and broker-dealers. Michelle began her career at a private equity investment adviser as an accountant and analyst, managing the audit, accounting and valuations of multiple private equity funds, and portfolio companies, as well as all back office operations. She has worked for a fund administrator servicing private equity funds, fund-of-funds, domestic and foreign hedge funds, and mutual funds. Prior to joining Constellation, Michelle served as the Director of Accounting and the Director of Operations at a proprietary broker-dealer and investment advisor. Michelle received a B.B.A. in Accounting at Iona College, Hagan School of Business and holds a Series 7 License.

TARA NOLAN
Marketing and Business Development Manager

Tara is responsible for the continued growth of the Constellation brand through marketing and sales efforts. She has worked within the hedge fund industry over the last 4 years starting in sales at the leading global publication HFMWeek in London. In 2015, she moved back to New York to head up business development in the US. Tara received a Bachelor’s degree in Communications with a minor in Journalism Studies from Stonehill College in Easton, Massachusetts.

BRIAN LAI
Senior Consultant

With a background rooted in public accounting for the alternative investment industry, Brian provides outsourced CFO services to Constellation’s clients. He has considerable experience servicing hedge fund, private equity, and fund of fund entities, and is well versed in matters such as fund accounting, partnership allocations, fund structuring, financial reporting and analysis, tax compliance, and accounting operations. Prior to joining Constellation, Brian worked in KPMG’s Asset Management Financial Services division. Additionally, Brian worked with Goldman Sachs specializing in tax compliance and consulting for a large portfolio of asset management firms. Brian obtained a B.S. from Pennsylvania State University and an M.S. from the University of Pittsburgh. He also holds a professional affiliation with the New York Chapter of the Institute of Management Accountants.

LANA SEROVA
Associate

At Constellation Lana maintains all aspects of financial management, including corporate accounting, regulatory and financial reporting, budget and forecasts preparation, as well as development of internal control policies and procedures. Prior to joining Constellation, Lana was exposed to public, not-for-profit, and corporate accounting. She earned her B.S. in Public Accounting at Brooklyn College City University of New York.

ALI RODRIGUES
Associate

Ali is a member of Constellation’s operations services team where she is responsible for supporting the firm’s middle office clients. Prior to Constellation, Ali worked with Citco Fund Service’s Enhanced Middle Office Group (EMO), the operations extension of an $11.5 billion multi-strategy alternative investment hedge fund complex. Ali specialized in the daily reconciliation, settlement, and break resolution for the fund’s global equity, debt, currency and commodity trades. Ali earned her B.A. in International Business and Trade and minor in Psychology at Florida Atlantic University, graduating cum laude. While attending FAU, Ali interned at The CommonWealth Group, a registered investment advisor, and Ibex Investments, a fund of hedge funds, assisting the regulatory and compliance team.

CIARA SMYTH
Associate

Ciara is experienced in providing financial administration services including financial reporting, net asset valuation and general fund management to large hedge funds. She is currently finishing her ACCA qualification and has also been exposed to private accounting practice including service to large retail groups. Ciara received her Bachelor of Commerce at University College Cork in Ireland.

EMIL KHAN
Associate

Emil Khan is a member of Constellation’s Regulatory & Compliance team. Prior to joining Constellation, Emil worked within regulatory entities and in the private sector. Specifically, he served as a Law Clerk at the Financial Industry Regulatory Authority’s (FINRA) Department of Enforcement and Dispute Resolution, where he gained exposure to broker-dealer regulation. Additionally, Emil served as a Law Clerk for the Bank of China International, working with the General Counsel on commodities, futures, and derivatives. Subsequent to these roles, Emil returned to the regulatory side of the business joining the Securities and Exchange Commission’s (SEC) Division of Enforcement: Asset Management Unit as a Legal Intern where he has gained exposure to the regulation of various investment advisers. Other experience includes his role as a Compliance Associate at J.P. Morgan Asset Management, where he drafted policies and procedures for the firm’s supervisory managers. Emil earned his Juris Doctor at the St. John’s University School of Law, and received his master’s degree in public policy and bachelor’s degree in political science and psychology from SUNY at Stony Brook University.

STEVEN LAPKOFF
Associate

Steven is a member of the Regulatory & Compliance team at Constellation. His focus is on investment advisers and broker-dealer entities. Prior to joining Constellation, he worked as a compliance consultant while completing his Juris Doctor at Pace Law School. While at Pace Law, Steven held internships in the Legal & Compliance department of Marsh & McLennan, and the Finance & Risk department of Thomson Reuters. Steven was also a volunteer at the Pace Law School’s Investor Rights Clinic, representing retirement investors in arbitrations before the Financial Industry Regulatory Authority (FINRA). While serving in this role he competed in the Hugh L. Carey/FINRA Securities Dispute Resolution Triathlon, winning the Excellence in Negotiation Award. Steven also provided assistance to the Permanent Mission of Sri Lanka to the United Nations during the 69th session of the UN General Assembly, focusing on economic and financial issues. Steven holds a B.A. from the University of Maryland and a J.D. from Pace Law School.


CFO, Tax & Accounting Services

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Financial STATEMENT and AUDIT REPORT PREPARATION

COO, Operations & Trade Support

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Protect your
OPERATIONAL CONTINUITY

Regulatory & Compliance

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Strategies in an
EVER-CHANGING ENVIRONMENT

Due Diligence

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Uncompromising,
RESULTS-DRIVEN
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Business Strategy & Consulting

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Business strategies that
BUILD VALUE

Dispute Resolution

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Seasoned dispute resolution
EXPERTS AT THE READY