Who We Are

neidel

Lori Neidel, JD
Founder and Managing Member

Complementing her existing practice, the Law Office of Lori J. Neidel LLC, Lori formed Adviser Compliance Services (ACS) as a way of providing attentive compliance care to advisers of all sizes at reasonable rates.

Lori brings her clients a wealth of securities industry experience, including:

  • A solid “insider” perspective as a former Missouri state securities chief enforcement counsel
  • Ongoing experience as a securities lawyer in private practice
  • Familiarity with institutional assets as a past board member for the Missouri State Employees Retirement System
  • Frequent speaker on compliance topics for national adviser organizations

Lori received her law and undergraduate degrees from Saint Louis University. In 2009, she earned the CRCP designation from the FINRA Wharton Institute for Certified Regulatory and Compliance Professionals. She is currently active in her Columbia, Missouri community as an engaged member in the local Rotary. When not involved in charitable activities, Lori can be found kayaking the many rivers of Missouri.

  Lori@advisercompliancesvcs.com

scott-snipkie

Scott Snipkie, JD
Compliance Consultant

Scott joined ACS and our affiliated law office in January 2019 as an accomplished securities enforcement attorney, former assistant attorney general, and Navy veteran. With his deep and broad bench of experience, he is an invaluable member of the team. Scott’s prior experience includes:

  • Missouri Securities Division Enforcement Counsel, working closely with examiners and investigators to enforce state securities law
  • Member of the North American Securities Administrators Association (NASAA) enforcement working group
  • Missouri Attorney General’s Office Assistant Attorney General, 2017–2019, handling complex regulatory and administrative matters on behalf of state agencies
  • 2018 recipient of the Attorney General’s Award for Excellence in Litigation

Scott received his law and graduate journalism degrees from the University of Missouri-Columbia, and his undergraduate degree from Penn State University. From 1998–2004, he served as a nuclear operator for the United States Navy, onboard the submarine USS Dallas. Scott keeps busy outside of the office chasing around his young son and, in the sliver of time that remains, watching Penn State football.

  Scott@advisercompliancesvcs.com

jennifer-henley

Jennifer Henley
Senior Compliance Consultant

Just as your firm tends to the meticulous details of your clients’ financial interests, Jennifer is our point person for ensuring each ACS adviser client has everything they need for their best compliance program. More informally, we refer to Jennifer as our “herder of cats.” No essential task is left unfinished under her care. Her 15+ years as a past state securities examiner makes her perfect for this high-touch role.

Jennifer’s prior experience includes:

  • Missouri Securities Division senior examiner, leading an examiner team conducting both investment adviser and broker-dealer examinations
  • Co-chair for North American Securities Administrators Association (NASAA) Investment Adviser Training Project Group, overseeing investment adviser examiners nationwide
  • NASAA Electronic Examinations Module (NEMO) group participant, instrumental in developing and updating examination modules used by state securities examiners across the country

Jennifer brings an empathetic perspective to her work, having received her undergraduate degree in personal financial planning from the University of Missouri-Columbia. Outside of work, she keeps busy with her husband and son wrangling cattle on their family farm.

  Jennifer@advisercompliancesvcs.com

dixie-baxley

Dixie Baxley
Compliance Consultant

No team is complete without someone who has its back behind the scenes. For Adviser Compliance Services, that’s Dixie Baxley – our provider of quiet, competent, dependable care.

Dixie’s prior experience includes:

  • Eight-plus years of experience as a Missouri Securities Division compliance examiner, conducting broker-dealer and investment adviser compliance examinations
  • Member of the North American Securities Administration Association (NASAA), participating in working groups and training fellow examiners on evolving broker-dealer regulatory protocol

Dixie holds an associate degree as a legal specialist. She enjoys spending quiet time at home, and going on boat outings with her friends on the many nearby lakes.

  Dixie@advisercompliancesvcs.com

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