As Chief Operating Officer, General Counsel and Chief Compliance Officer, Ernest J. C’DeBaca (Ernie) oversees business operations, governance and all legal, compliance and HR matters for the firm. Active as an in-house counsel and compliance officer since 2000, he has focused on the various federal and state laws and related rules governing investment advisers and the insurance industry. He has extensive expertise in all areas of regulatory compliance and aids clients in preparation for regulatory examinations and the preparation of compliance policies and procedures. He enjoys the challenges of working on the developing side of financial services because of Foundation’s phenomenal growth pattern and the integrity at the core of the firm.