Ian Frimet
SVP, Lead Counsel RGFO and RGIB, Rockefeller Capital Management
Ian J. Frimet is a Senior Vice President of Rockefeller Capital Management and serves as Lead Counsel over its wealth management (RGFO) and investment banking (RGIB) divisions. Mr. Frimet provides strategic counsel with respect to all aspects of regulatory compliance and enforcement defense. He has over 15 years of practice experience in broker-dealer and RIA regulation, corporate governance and M&A.
Prior to joining the firm, Mr. Frimet served as a Senior Vice President, Associate General Counsel of LPL Financial where he managed a team of attorneys responsible for providing regulatory compliance advice and counseling on firm sponsored M&A transactions. Before moving in-house, he was a partner at the boutique corporate and securities law firm Wexler & Burkhart where he focused on advising clients on FINRA and SEC compliance and representing them in administrative proceedings, before the courts and in arbitration.
Mr. Frimet received his JD from Hofstra Law School and his BSBA in Finance from Villanova University.