Dave Swann
About
Dave Swann is from Austin, Texas Metropolitan Area. In Dave's previous role as a General Counsel & Chief Compliance Officer at Venturi Private Wealth, Dave worked in Austin, TX until Jul 2026. Prior to joining Venturi Private Wealth, Dave was a In-House Counsel & Chief Compliance Officer at Meritage Capital, LLC (a wholly owned subsidiary of Brown Advisory, LLC as of May 3, 2018) and held the position of In-House Counsel & Chief Compliance Officer at Austin, Texas. Prior to that, Dave was a Legal & Regulatory Director at Virginia Retirement System, based in Richmond, Virginia Area from Jan 2012 to Jan 2016. Dave started working as In-House Counsel & Chief Compliance Officer at Century Management Investment Advisors in Austin, Texas Area in Feb 2003. From Jan 2000 to Jan 2003, Dave was General Counsel & Director of Operations at Vista Analytics, LLC, based in Sugar Land, Teaxs. Prior to that, Dave was a Assistant City Attorney - Government and Business Services at CIty of San Antonio, City Attorney's Office,, based in San Antonio, Texas Area from Dec 1996 to Jan 2000.
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Dave Swann's past jobs
I serve as Chief Compliance Officer and the General Counsel of Venturi Private Wealth. Utilizing more than 20 years of industry experience, I am responsible for the administration, direction, management, and oversight of the compliance and legal functions,
Spearhead the legal and regulatory functions for a registered investment management firm specializing in multiple investment strategies including differentiated hedge fund solutions for family offices, high net worth individuals and institutions. Responsibilities • Draft, negotiate and execute legal documents such as private placement memorandums, limited partnership agreements, subscription documents, non-disclosure and confidentiality agreements. • Review and negotiate contracts with third party service providers. • Active role in Board Meetings ensuring legal matters are appropriately addressed. • Advise on matters concerning federal, state, and local lobbying regulations, such as pay-to-play rules. • Monitor and report on legal and regulatory developments. • Review and edit marketing materials to contain all necessary legal disclosures. • Third party manager due diligence oversight. • Ensure adherence with rules and regulations that govern the firm’s registration as a Registered Investment Adviser and Commodity Pool Operator (“CPO”).
Directly oversaw the regulatory and legal initiatives of one of the largest public pension plans in the United States with more than $68 billion in assets under management during my tenure. • Piloted the development of due diligence reviews for third-party managers. • Reviewed, negotiated and approved legal documents • Developed modern, central database for storage of investment management agreements and other ancillary documents. • Prioritized items for Investment Department budget. accounts. • Responsible for oversight of internal cash management process for the Investment Department.
Created the firm’s risk matrix system that performs risk-gap analysis of its business and compliance exposures. Also was directly responsible for the development, implementation, and maintenance of policies and procedures designed with the intent to prevent violations of federal security laws and address conflicts of interest. • Drafted and updated investment advisory agreements. • Mentored staff regarding legal and compliance issues. • Advised company on regulatory rules and their impact to the organization. • Chief Compliance Officer for the adviser and numerous open-end mutual funds. • SEC liaison for regulatory examinations and inquiries.
Director of Operations and In-House Counsel for Vista Analytics, a company that provided advisors with the highest level of support in the areas of investment research, access to institutional money managers, performance reporting and back office functions. Responsibilities • Served as legal counsel in transactional matters, offers of employment, non-disclosure agreements, placement agent agreements, and investment management agreements. • Fostered strategic alliances with other financial management firms. • Supervised regulatory and human resource needs of the company. • Tailored compliance policies and procedures specific to the organization including employee training.
Served as Assistant City Attorney for the seventh largest city in the United States. Partnered with the City’s Economic Development Department to foster growth and development in San Antonio by working with partner agencies to bring business infrastructure needs, incentives and quality workforce training programs to San Antonio. Responsibilities • Worked closely with the City's Economic Development Department to provide tax incentives to encourage new and existing businesses to locate or expand within San Antonio city limits. • Analyzed contracts and monitor dealings (particularly Chapter 380-grant agreements and tax abatement agreements) between the city and companies. • Correspondence with company executives, city council, and the public concerning legal obligations. • Drafted and addressed legal issues concerning “Request for Proposals (RFP)” and “Request for Qualifications (RFQ)” regarding services related to city facilities. • Drafted and negotiated contracts in areas such as procurement, professional services, and discretionary agreements. • Researched and provided legal opinions to various city departments, city boards and committees concerning federal, state and local laws. • Served as legal counsel for the San Antonio Local Development Company to help finance business growth by providing intermediate and long-term loans to small businesses at a fixed interest rate. • Served as counsel to the Small Business Economic Development Advocacy (SBEDA) Program, which leverages the city’s purchasing power to grow small, minority, and women-owned businesses. • Responsible for responding to inquiries regarding the City’s Ethics Ordinance.