Sean Puckett

Sean has 10+ years in capital markets including banking and bank regulation with the United States Treasury. During his time at the Treasury he was responsible for conducting examinations of community and mid-sized banks ($10-$50 billion) including capital markets and loan portfolio reviews to ensure compliance with the roll-out of the Dodd-Frank Act in 2016-2017.

After the treasury, Sean entered the wealth management industry as Chief Investment Officer for an Arizona-based Investment Advisor where he oversaw actively-managed strategies on $250 million in client assets spanning equities, fixed income, derivatives, and private placements. In 2019 he started his own SEC-Registered Investment Advisor to outsource his services to larger ($1B+) RIAs on risk management and alternative investment strategies. In 2021 Sean lead the development of quantitative portfolio management strategies for a Silicon Valley fintech firm and publicly traded 40 Act Fund currently trading on the Cboe BZX exchange.

He holds the Chartered Financial Analyst® (read more here) and Chartered Alternative Investment Analyst® (read more here) designations and graduated in 2014 from The University of Montana with a B.S. in Finance.