Marc Baum

General Counsel and Chief Compliance Officer

2024 - Current

Senior Advisor

2022

Senior Advisor at digital asset wealth management and trading firm driving development and launch of registered investment advisor (Abra Capital Management) including fund and SMA products, guide framework for OTC trading activities and lead the company's response to and settlement of enforcement actions with the SEC and multi-state state securities and money transmission regulatory working groups, remediation efforts, and product restructuring in the face of evolving regulatory landscapes

Advisory Team Member

2022

Chief Operating Officer (North America), General Counsel, Chief Compliance Officer

2019 - 2024

Pacific Road is an Australian-based investment advisor focused on the natural resources sector with an ESG overlay that manages approximately $800 million in two private equity funds and is currently marketing the Catalyst Fund. Signatory to UNPRI starting 2016 Built U.S. RIA, drafted fund documents and marketing materials, created operational infrastructure Oversaw legal, compliance, operations, human resources and recruiting for U.S. and Australian and entities through direct reports

Senior Consultant

2021 - 2022

Led development of Cognitive Regulatory Compliance Solutions, an AI-driven compliance platform that was a joint venture between McLaren and Eisner Amper

Senior Consultant

2020 - 2021

Gaingels is an LGBTQIA+/Allies private investment syndicate, and one of the largest and most active private investors dedicated to supporting diversity and inclusion within the venture capital ecosystem Led restructuring to assure business activities are conducted consistent with federal securities laws within appropriate regulated entities

General Counsel, Chief Administrative Officer and CCO

2010 - 2020

General Counsel and Partner

2009 - 2010

General Counsel

2005 - 2009

COO/GC

2002 - 2005