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Scott Tominaga has two decades of experience in the hedge fund and financial services industry. He earned his degree in Business Finance from Arizona State University in 1988. Throughout his career, he has held key roles in establishing several operational infrastructures, successfully interfacing with fund managers and professional service providers to establish efficient and transparent operations and reporting systems.  He has an extensive understanding of the middle and back office, accounting, compliance, and administrative functions within financial services firms. 

 

A seasoned finance executive, Scott Tominaga worked as a financial and compliance officer for various organizations.  He started his career as a quality control specialist at Mitchell Sweet & Associates from 1988 to 1989. He then worked at the National Association of Securities Dealers, Inc. in Los Angeles, California as an Associate and Compliance Examiner, and later as a Senior Compliance Examiner. During his time with NASD, he received the "Excellence in Service" award and the "Above & Beyond" award for his contributions.  

 

From 1993 to 1999, he worked at Puglisi Howells & Co, Inc. in Phoenix, Arizona where he was managing director and Chief Financial Officer.  He then took on the role of Principal at Empire Capital Group, LLC. During this time, he established corporate policies for employees and managed relationships with outside auditors, lawyers, banks, and businesses. While with the company, Scott Tominaga held series 4,7, 24, 27, 55, and 63 securities licenses. 

 

As his financial career flourished, Scott Tominaga worked at DAFNA Capital Management in Los Angeles as Controller, and later as Director of Operations from 2003 to 2008. His responsibilities involved managing back office and operational matters for an SEC-registered investment adviser and three separate master-feeder hedge fund structures with assets under management of approximately $200 million.