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Tom relocated from the west coast in mid-2023 to assume the role of Chief Compliance Officer at Marble Harbor Investment Counsel. For the prior eleven years, he served as CCO to Kestrel Investment Management Corporation, an institutional small cap value advisor in San Mateo, CA. Tom’s financial services career began in 2000 on the Nasdaq trading desk at Deutsche Bank Securities in New York. He later transitioned into the compliance field, joining the Securities & Exchange Commission in the Washington, D.C. office. During five years at the Commission, he conducted regulatory inspections and examinations of registrants and inquiries into a broad array of regulatory issues at SROs, broker-dealers and investment advisors.

A former Coast Guard Officer and graduate of the U.S. Coast Guard Academy, Tom earned a B.S. in Management and Economics. After leaving the military, he attended NYU’s Stern School of Business, earning an M.B.A. with a concentration in finance. Tom is a husband and father of two boys and is an avid skier, cyclist (road) and musician.