CORE COMPLIANCE

Led by Chief Compliance Officer Matt Swendiman, CORE Compliance delivers comprehensive regulatory oversight spanning SEC, state, and firm-level requirements. The team brings deep legal, operational, and advisory experience—anchored by credentials including JD, CFA, LLM, MBA, and designations such as IACCP®, AIF®, and CRPC®.

Together, Managing Directors and Senior Compliance Officers Kristin Prieur and Aaron Larson partner with advisory firms to design practical, sustainable compliance programs that evolve alongside the business. Their work includes regulatory guidance, policy development, exam preparedness, and supervisory framework design—executed with clarity, efficiency, and precision.

CORE Compliance reflects the same principles that define CORE RIA Solutions: experienced leadership, proactive communication, and a commitment to strengthening each firm’s foundation for compliant, confident growth.

CORE TECHNOLOGY

Guided by Paul Dalton, Fractional Chief Technology Officer, CORE Technology combines strategic leadership with disciplined technology oversight to keep advisory firms secure, efficient, and future-ready. With more than 30 years in technology—20 dedicated to the financial advisory industry—Paul oversees the technology ecosystem supporting CORE and its clients, ensuring platforms, systems, and security operate in harmony.

Through trusted technology partners Micah Shanks, Reena White, John Baker, and Allen Gayler, CORE Technology delivers the infrastructure support that brings strategy to life. Their combined expertise spans IT consulting, systems administration, cybersecurity, and network engineering—providing proactive monitoring and scalable solutions that evolve with the firm.

Together, CORE Technology operates as an extension of firm leadership—aligning technology strategy, security, and service to support stability today and growth tomorrow.

CORE CO-FOUNDERS

CORE RIA Solutions was founded by Tami Martin and Doug Nichols to give independent advisory firms access to experienced operational leadership—without the burden of building it internally.

With more than two decades in the RIA industry and deep experience guiding advisory firms through growth, transition, and operational complexity, Tami and Doug bring complementary strengths to CORE’s leadership. Together, they have supported dozens of firms through critical inflection points—helping leadership teams create clarity, strengthen infrastructure, and execute with confidence.

Tami brings a deep background in advisory billing, operations, and systems integration, leading CORE’s implementation and execution efforts with a focus on precision, accountability, and seamless transitions. Doug focuses on strategic partnerships and operational alignment, ensuring firms have the structure and support needed to scale without disruption.

At CORE, Tami and Doug serve as the connective leadership layer across compliance, technology, and operations—partnering with advisors to build durable foundations, empower internal teams, and support long-term growth.