Our Team of Former SEC Examiners

Andrew Schuster spent nearly three decades with the U.S. Securities and Exchange Commission (SEC), serving as an Examiner, Branch Chief, and Exam Manager in the SEC's Division of Examinations. He brings extensive firsthand experience in investment adviser compliance, investment company compliance, and SEC examinations. During his tenure with the SEC's Division of Examinations, he supervised and participated in more than 500 examinations of investment advisers, hedge funds, private equity funds, and mutual funds. These examinations involved firms of varying sizes and complexities, from small advisory practices to large institutional fund complexes.

Mr. Schuster received numerous awards for his contributions to the SEC's mission. Throughout his SEC career, he focused on identifying regulatory risks, evaluating compliance programs, strengthening examination practices, and mentoring examination teams. His work contributed to enhanced investor protection, remediation of compliance deficiencies, and referrals to the SEC's Division of Enforcement.

Mr. Schuster holds the Investment Adviser Certified Compliance Professional® (IACCP®) and Certified Securities Compliance Professional – Investment Adviser (CSCP-IA) designations. He is also a Certified Fraud Examiner (CFE). Mr. Schuster is a member of the Securities Experts Roundtable (SER), a professional organization comprised of consulting and testifying expert witnesses and other securities industry professionals focused on ethics, professional standards, education, and the exchange of knowledge and experience in securities-related matters.

Ashvin brings 31 years of securities regulation experience, including an extensive career with the U.S. Securities and Exchange Commission conducting and leading hundreds of examinations of investment advisers and investment companies.

His SEC experience includes compliance program evaluations, governance, fiduciary obligations, disclosure reviews, portfolio management, and internal controls.

He also contributed to enforcement matters and helped train and mentor SEC examination staff. That regulatory experience provides ClearView clients with practical insight into SEC expectations, exam preparedness, risk identification, remediation strategies, and compliance program development.

Ashvin has worked with firms ranging from emerging advisers to large, complex organizations across the investment management industry. Ashvin also successfully completed the CPA examination.

Susan Day is an investment adviser compliance consultant with over 30 years of experience in the compliance industry. Prior to working as a compliance consultant, Susan was a Senior Staff Accountant at the U.S. Securities & Exchange Commission where she spent 30 years leading examinations of investment advisers and investment companies.

She has extensive experience examining investment advisers across real estate, private equity, venture capital, hedge fund, and separately managed account strategies, as well as a broad range of investment companies. In addition to having extensive knowledge of the Investment Adviser and the Investment Company Acts, she has reviewed and evaluated hundreds of compliance programs of investment advisers and investment companies.

Susan received the Shannon D. Ayers Examination Award of Excellence for her outstanding accomplishments and contributions to the National Examination Program. Additionally, Susan has been the recipient of the Division of Examination's Four Pillars Award in recognition of her outstanding service to investors and to the National Examination Program. Susan graduated with honors with a B.S. in Professional Accounting from Regis University.