Ashleigh C. Swayze, ESQ. is the founder and Managing Member of Swayze LLC, established in 2009 and recognized as a premier compliance consulting firm. With a multifaceted background spanning business operations, legal strategy, and compliance leadership, Ashleigh has guided the firm to serve a broad range of clients—from wealth managers and private fund managers to broker-dealers and financial planners. She is an advocate for tailored solutions, believing strongly that the complexities of the industry require approaches as unique as each client.

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Ashleigh’s career includes serving as Chief Operating Officer and General Counsel at Gleacher Fund Advisors, where she managed the compliance and business functions for broker-dealers, investment advisers, and private funds. Her expertise extends to guiding owners through succession planning and corporate structure, designing and implementing advanced operational due diligence programs for institutional and high net worth clients, as well as overseeing risk management and regulatory strategies.  Ashleigh began her career at Stark & Stark, where she counseled investment professionals on compliance, risk, and corporate matters.

 

Ashleigh holds both BAH and BA degrees from Villanova University and a Juris Doctor from Rutgers University School of Law.