Horrigan Resources, Ltd.
We are proud to celebrate 20 years of serving clients! Located in Pittsburgh, PA, Horrigan Resources, Ltd. (HRL) 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. Over the past 20 years, we have developed long-standing relationships with our clients … we are very proud of our 95%+ re-engagement rate. At HRL, we deliver the expertise and solutions necessary to ensure that our clients thoroughly identify and effectively manage all aspects of their compliance risk profile.
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, thus ensuring a clear understanding by HRL of our client’s business model and attendant compliance obligations. This attribute remains steadfast, whether we are building a compliance program from the ground up, conducting an annual review, or providing on-call guidance to address specific compliance issues.
Betsy Horrigan Rathz
Betsy founded HRL in 1998 after a successful career with American Express and CoreStates Securities Corp. (a predecessor company to Wells Fargo).
Betsy’s investment experience began more than 30 years ago with her role as a fixed-income trader for an institutional asset manager and subsequent employment in the capital markets arena as a trader and institutional sales manager. It was in this capacity that Betsy first cultivated her compliance and risk management expertise.
Betsy has built HRL’s practice focus in the compliance arena of the investment advisory and private fund lines of business. Complementary financial writing capabilities include technical development and training in the compliance arena. Through Betsy’s leadership, HRL continues to provide valuable resources to a diversified client base in the areas of regulatory compliance, content development, and training and presentation capabilities.
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).
James W. Rathz, AIFA
Jim has spent more than 30 years in the investment and capital markets arena. Since joining HRL in 1998, Jim has assumed varied responsibilities within the firm and is a published author of articles pertaining to financial compliance.
Jim began his career as an account executive for an employee benefits consultant before embarking on a career in the financial markets in 1981. He held positions in portfolio management and capital markets trading through 1998.
Jim holds the Accredited Investment Fiduciary Analyst™ (“AIFA”) designation from The Center for Fiduciary Excellence (CEFEX) and a Bachelor of Science degree from Villanova University.