Tripp Marriott

Director of Risk Review, Relationship Manager in the Compliance Administration group

As Director of Risk Review, Tripp reviews and updates adviser risk assessment / testing protocols based on regulatory updates, guidance from the SEC, and exam experience.

Tripp Marriott joined Fairview as the firm’s first Compliance intern in 2010. Currently, Tripp serves as the Director of Risk Review and Relationship Manager. Since 2012, he has held several full-time positions and has been integral to the development of the group’s testing and risk assessment protocols. As a Relationship Manager, he partners with RIAs and CCOs to provide full compliance administration support, particularly to clients who manage complex private pooled vehicles. Previously, Tripp held compliance associate and senior compliance roles within Fairview.

Education & Training

B.A. in Political Science from North Carolina State University

Areas of Expertise

Private Funds
Compliance with Investment Adviser Act rules
New SEC regulations and best practices
Adviser risk assessments
SEC exams
Regulatory filings
Compliance testing and monitoring
Internal compliance applications

Industry News

SEC Revises Marketing FAQ to Address Private Fund Net Performance

January 18, 2023
Flash Reports, Private Fund

On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.

The SEC's New Proxy Rule: What You Need to Know

November 10, 2022
Flash Reports

On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments.

Electronic Communications Recordkeeping: SEC Examination Requests

October 13, 2022
Flash Reports

After landmark penalties against 16 Wall Street Firms, the message is clear: firms are expected to abide by the SEC recordkeeping rules, especially around communication.

Fairview has been providing streamlined solutions to providers in the financial services industry since 2005. We are part of ViewPoint Partners, our employee-owned parent company for both Fairview and FilePoint, which provides regulatory reporting solutions for registered investment companies.