Our SEC Compliance Consultants
“Focus 1 Associates isn’t just a vendor or an outsourcing services firm; they are a valued partner with our company, and the value they contribute directly impacts our clients. Focus 1 Associates’ professionals are knowledgeable, experienced, and most of all trustworthy. I often think my biggest mistake as a stakeholder of my firm is not partnering with them sooner. Whether I need advice on firm policies and procedures, an internal compliance issue or navigation through an SEC examination, Focus 1 Associates is there to provide expert guidance.”
Partner, Chief Compliance and Financial Officer
Old West Investment Management, LLC
Our team of professionals is direct, honest and objective and has experience in the areas of:
- SEC compliance,
- GIPS compliance and verification,
- attestation engagements,
- third-party compliance reviews,
- buy-side trading and operations, and
- SAS 70 (now known as an SSAE 16) policy and procedure audits.
We also hold a variety of credentials, including CFA , CFP, CIPM, CPA, CSCP, and IACCP®.
We have worked together, as a team, for over 10 years. Our size and focus allows us to spend the bulk of our time serving clients, rather than fulfilling management or administrative functions.
TOBIN S. COCHRAN, IACCP®
Direct: (541) 200-7001
Mobile: (541) 944-1109
Tobin has over 20 years of experience working with investment advisers of all sizes, across all asset classes, within the United States, Asia and Europe. He currently heads FOCUS 1’s client service and business development efforts, while also managing several on-going client relationships pertaining to quarterly and annual compliance reviews and mock SEC examinations.
Prior to July 2010 Tobin served as Partner and President of an internationally recognized specialist CPA firm for nearly 10 years, overseeing over 100 GIPS client relationships within the United States, Asia and Europe. Tobin also served as a member of the Executive Committee where he helped set strategy and implement operational and growth objectives. Tobin was instrumental in helping to develop several significant strategic alliances with other key providers within the investment management industry. Tobin also served as a Managing Director for the international entity under common ownership, and was instrumental in negotiating and establishing joint venture businesses in Seoul, South Korea and Tokyo, Japan, and in securing and developing client relationships throughout Asia and Continental Europe.
- Investment Adviser Certified Compliance Professional (IACCP®) 2013
- Certificate of Investment Performance Measurement (CIPM) candidate
- Passed the Principles level and anticipates sitting for the Expert level in late 2017.
- Bachelor of Arts in Business Administration
(emphasis in Accounting and minor in Economics)
Southern Oregon University
LINDA F. BECKMANN, CSCP
Direct: (541) 200-7004
Mobile: (541) 944-0658
Linda has over 36 years of experience working in the financial industry, most recently serving as a Member with FOCUS 1, where she works with many clients consulting on regulatory, compliance and internal control issues. Linda is also a valued resource when conducting mock SEC examinations on investment advisers.
Linda began her career in 1978 with Loeb, Rhoades & Hornblower. Within two years, PaineWebber took over the branch and she was promoted to Assistant Vice President/Operations Manager for PaineWebber. During her 10 years with PaineWebber, she passed the Series 7 and Series 8 exams, enabling her to act as Assistant Branch Manager, in addition to her operational responsibilities. She was a member of the operations advisory committees on both the regional and national levels. Linda spent 17 years as the Head Equity Trader and Trading Compliance Officer with a Registered Investment Advisory firm. She has been involved in the examination process on both the firm and regulatory level at PaineWebber and with the SEC during her tenure with the RIA. Linda has a thorough understanding of compliance, fiduciary responsibilities, back office procedures and a variety of trading systems.
- Linda holds a Certified Securities Compliance Professional® (CSCP) credential
- Member of the National Society of Compliance Professionals
- Linda graduated Cum Laude from Southern Oregon University with a BS in Business Administration with an emphasis in Management and an enrichment perspective in the international arena. She completed her International Business courses while attending the Hochschule Harz University in Wernigerode, Germany during the summer of 2007.
TIMOTHY M. SIMONS, CFA, CIPM, CSCP, CFP®
Direct: (267) 254-1506
Tim has nearly 30 years of SEC compliance experience working with investment advisers of all sizes, across all asset classes. Prior to joining FOCUS 1, Tim was a Chief Compliance Examiner in the SEC’s Philadelphia Office where he also supervised a Branch of Investment Adviser/Investment Company Examiners and participated in over 200 examinations between 1988 and 2000. In addition to being a regular speaker at several regional industry conferences, he was an instructor at SEC national training for new examiners for many years.
In 2001, Tim became a Partner with an internationally recognized GIPS compliance and verification specialist firm, performing and managing GIPS verifications for clients and integrating the review of client presentations for SEC disclosures as well as GIPS disclosures. When FOCUS 1’s predecessor firm was first established, Tim became its first Managing Director, and eventually as he serves today, Senior Managing Member.
He currently works with many of FOCUS 1’s clients, assisting the firm and the CCO with updating policies and procedures, assisting with regulatory filings, designing and implementing testing for the firm’s annual review, reviewing marketing materials, and conducting Mock SEC examinations. Tim conducts training webinars for FOCUS 1’s clients and the financial industry at large and is regularly invited to speak at industry conferences. His column, “Simons Says,” which provides commentary on the changes in the compliance environment and a seasoned perspective, is published in a variety of industry publications, including Emerging Manager Monthly and NSCP Currents as well as in FOCUS 1’s newsletter and blog.
Tim enjoys the change from the SEC and the opportunity to assist advisers in resolving their deficiencies, rather than just informing advisers that they have deficiencies.
- Certified Financial Planner (CFP®) 1990
- Certified Public Accountant (CPA) 1992-2015
- Chartered Financial Analyst (CFA) 1998
- Certified Securities Compliance Professional (CSCP) 2007
- Certificate in Performance Measurement (CIPM) 2008
- Financial Planning Association, Member since 1990
- American Institute of Certified Public Accountants, Member 1992-2015
- CPA Societies of Pennsylvania and Tennessee, Member 1992-2015
- Chartered Financial Analysts Institute, Member since 1998
- Financial Analysts of Philadelphia
- Member since 1998
- Director 2000-2003
- National Society of Compliance Professionals
- Member since 2000
- Director 2004-2007
- Finance Committee since 2006
- Investment Committee since 2006
- Chairman of Board of Governors for CSCP Designation 2008-2010
- Memphis Society of Financial Analysts, Member since 2004
- GIPS Interpretations Subcommittee, U.S. representative 2004 – 2009
- North American Investment Performance Committee, U.S. representative 2005 – 2009
- CIPM Association, Member since 2008
- Masters Degree in Business Administration
(emphasis in Accounting and Finance)
George Mason University
- Bachelor of Science degree in Engineering
New Brunswick, New Jersey
- U.S. Army
- Tours of duty in Germany and Vietnam
VICTORIA A. LUITEN, IACCP®
Senior Compliance Manager
Direct: (541) 200-6089
Victoria has over 25 years of investment industry experience. In her current role as a Senior Compliance Associate, she is responsible for conducting GAP analyses; ADV, marketing material, and email reviews; forensic testing for annual compliance reviews; and supporting mock SEC examinations.
Prior to joining the FOCUS 1 team in July 2016 Victoria held a variety of positions with investment firms located in Southern California. Most recently, she was Managing Director, Chief Compliance Officer (CCO) for Lombardia Capital Partners. Prior to being appointed CCO she held a compliance and operations position. As CCO she was responsible for managing the firm’s investment adviser compliance program and managed the firm’s compliance coding within Charles River Investment Management System (CRIMS). Before joining Lombardia Capital Partners she held the position of Vice President, Marketing & Performance Analysis for 300 North Capital (formerly known as Provident Investment Counsel). During her 23 years with Provident Investment Counsel / 300 North Capital she worked with long-only domestic equity strategies (separate accounts, mutual funds, private placement funds) and hedge funds with responsibilities including compliance, GIPS®, performance measurement, marketing, client support, and management. She was a director at a Southern California non-profit organization prior to entering the investment industry in 1990.
- NRS Investment Adviser Certified Compliance Professional® (IACCP®), June 2016
- Charles River Investment Management System (CRIMS) Level 1 Compliance Certification , September 2014
- Alpha Gamma Sigma (The California Community College Honor Scholarship Society) Member
- Southern California Compliance Group (SCCG) Board Member
- Bachelor of Science in Communication Arts
(emphasis in Public Relations)
California State Polytechnic University, Pomona
- Associate of Science in Business, Gold Seal Graduate
Nikola A. Feliz, CPA, CIPM
Direct: (813) 965-2655
Nikola has over 15 years of SEC and GIPS compliance experience within the investment industry. She has worked with investment advisers of all sizes and asset classes, both domestically and internationally. As a Compliance Manager, Nikola conducts forensic testing for annual compliance reviews, mock SEC examinations, marketing, website and social media reviews, and assists the CCO to incorporate a GIPS oversight program as part of the advisors risk assessment and annual review process. Nikola also reviews key compliance documents for consistency and best practice.
Prior to working with Focus 1, Nikola served as Partner of an internationally recognized GIPS compliance and verification specialist firm, where she had executive responsibility for over a hundred GIPS Verification clients, ranging from small individual advisors to some of the firms largest clients. In addition to her GIPS consulting responsibilities, Nikola also oversaw the firm’s Quality Control process, giving her insight to hundreds of clients across the firm’s service lines. Both roles provided her significant exposure to the complex scenarios investment advisers face. Nikola was instrumental in the firms focus on growth, education and compliance with regulation. Nikola has conducted various internal and national training sessions on GIPS compliance as well as speaking at industry conferences nationwide.
- Certified Public Accountant (CPA) since 2005
- Certificate in Investment Performance Measurement (CIPM) since 2009
- Bachelor of Science Degree in Business Administration (emphasis in Accounting and minor in Cultural Diversity) Southern Oregon University Ashland, OR
Mark D. Comish
Direct: (541) 301-3254
Mark has over 30 years of business experience in the computer and technology industry, including Information Technology, Corporate Management, Marketing and Web Services. He currently heads Focus 1’s operations.
Prior to joining Focus 1, Mark was the Operations Manager and President of an internet based business domiciled on the West Coast. He managed the daily operations including Human Resources, shipping and customer service, while also maintaining the company’s website, work stations and internal servers. During his time in the technology industry, Mark has also managed customer lists, inventory systems and lead the company’s business development and sales activities. Mark was instrumental in the growth of the company, evolving from a two-person operation working from a garage, to a multi-million dollar company with over 50 employees.
As co-owner of a game development company in the late 1990’s, Mark not only assisted with game development, but he also managed the catalog design, production and distribution, and lead all email marketing and promotional campaigns. The company was later sold to a well-known publicly traded technology company.