Thomas Shoemake, Chief Compliance Officer, provides primary oversight and supervision to two SEC Registered Investment Advisors and a FINRA registered broker-dealer within the HORAN entities. Tom’s responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the investment services compliance programs. He is also responsible for ensuring that HORAN investment regulated entities’ reporting complies with regulatory requirements as well as firm policies and supervisory procedures. Tom is charged with providing leadership and strategy to compliance, risk management, control and operations of the firm.