Horrigan Resources, Ltd.
Located in Pittsburgh, PA, Horrigan Resources, Ltd. has served the financial services industry since 1998 as a reliable and trusted compliance resource for our clients. We serve investment advisers, wealth managers, hedge funds, private equity funds, and exempt reporting advisers. From the very beginning, we have evolved our business to meet the dynamic needs of our clients s … we are very proud of our 95%+ client re-engagement rate. We deliver the expertise and services our clients need day in and day out.
We provide customized compliance solutions developed and delivered through a proven client service model which continues to evolve with the federal regulatory regime and innovative capital markets. Each client engagement begins with thorough research to understand our client’s business model and compliance service needs. Our approach is steadfast, whether we are building a compliance program from the ground up, conducting an annual review, or providing on-call guidance to address emergent compliance issues.
Our principals’ experience and capabilities span decades working inside major financial service enterprises in the capital markets in sales, trading, portfolio management, and compliance. Clients tell us they value this essential attribute of our practice.
Betsy Horrigan Rathz
President
Betsy founded Horrigan Resources in 1998 after a successful career with American Express and CoreStates Securities Corp. (a predecessor company to Wells Fargo). Betsy started her career as a fixed-income trader within the institutional asset management and capital markets arenas. It was in this capacity that Betsy first cultivated her compliance and risk management expertise.
Betsy has built Horrigan Resources’ practice focus on compliance for investment advisers and private funds.
Betsy holds a BSBA from Georgetown University and an MBA from The University of St. Thomas in St. Paul, Minnesota. She is a member of the National Society of Compliance Professionals (NSCP) and the Greater Pittsburgh Compliance Roundtable (GPCR). Betsy also serves on the Board of Friends of Kenyan Orphans, a 501(c)3 non-profit organization promoting the rescue and education of Kenyan orphans.
James W. Rathz
Managing Partner
Jim has spent more than 30 years in the investment and capital markets arena, having started his career as a portfolio manager and trader within the capital markets and foreign exchange arenas. Since joining Horrigan Resources in 1998, Jim has assumed varied responsibilities within the firm and is a published author of articles pertaining to financial compliance.
Jim holds a Bachelor of Science degree from Villanova University.