Matthew A. Swendiman, CFA®

Chief Compliance Officer

Matt is Chief Compliance Officer of Northeast Private Wealth Management. Prior to joining the firm, he had founded Graydon Compliance Solutions, LLC, an outsourced compliance consultancy offering services to RIAs across the United States and in the United Kingdom, following a role as chief operating officer to a $500 million Cincinnati-based registered investment adviser.

In 2006, he joined Fifth Third Bank in Cincinnati, Ohio where he served as the Chief Administrative Officer for Fifth Third’s institutional investment management business. In addition to these responsibilities, Matt provided legal support to Fifth Third’s broker-dealer, insurance and custody operations. He also served as Secretary and Chief Legal Officer to the Fifth Third Funds, a mutual fund trust with twenty-four series. While at Fifth Third, Matt earned his Chartered Financial Analyst (CFA®) designation.

Prior to joining Fifth Third, Matt served as an investment management associate in the Washington, D.C. office of K&L Gates, an international law firm. In 2002, Matt joined The Phoenix Companies in Hartford, Connecticut where he ultimately served as Chief Legal Officer and Secretary for the Phoenix (now Virtus) mutual fund complex. During his time at Phoenix, Matt earned the Chartered Life Underwriter (CLU®) and the Chartered Financial Consultant (ChFC®) designations from The American College.

Matt served as counsel to Conseco Capital Management, a multi-billion dollar institutional investment management firm in Carmel, Indiana. He began his investment management career in 1996 with a predecessor of Citi Fund Services where he worked in the transfer agent and legal and compliance department for a large third-party mutual fund administrator.

Matt earned his bachelor’s degree in political science and his Juris Doctorate (JD) from The Ohio State University. While in law school, he attended the Oxford University Summer Program. Matt earned his Master of Laws (LL.M) in insurance law from the University of Connecticut.

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