L. Allison Charley

L. Allison Charley is the Managing Partner of Regent Advisory Partners and brings more than 25 years of senior compliance leadership experience across SEC-registered investment advisers, private fund managers, digital advisers, and broker-dealers. She works with firms to strengthen compliance programs, prepare for regulatory examinations, and establish scalable compliance frameworks that align regulatory expectations with business realities.

Before founding Regent, Allison served as a Managing Director at ACA Group, advising investment advisers and broker-dealers on examinations, compliance program design, risk assessment, and governance practices. Earlier in her career, she was a Branch Chief and Examiner with the U.S. Securities Exchange Commission and held multiple Chief Compliance Officer roles, giving her direct experience leading investment adviser and broker-dealer programs through periods of growth, operational change, and regulatory scrutiny.

Allison is known for her calm, practical approach to complex regulatory issues and her ability to translate regulatory expectations into clear, actionable processes. Clients rely on her judgement, discretion, and hands-on support to strengthen their compliance programs while reducing operational friction. Her work reflects a consistent focus on practical and scalable compliance.