LOUIS SWEENEY

Louis is responsible for advising investment adviser and broker-dealer clients on complex regulatory compliance matters and assisting clients with all aspects of their compliance programs, including registrations, the development and maintenance of policies and procedures, regulatory filings, and regulatory examinations.

Prior to joining Pillar in May 2025, Louis served as a Securities Compliance Examiner at the U.S. Securities and Exchange Commission (SEC) where he conducted examinations of registered investment advisers, including complex private fund advisers and wealth managers.

Prior to his role at the SEC, Louis served as Deputy Chief Compliance Officer at a leading private equity and private credit energy firm where he also served as Chief Compliance Officer for its affiliate private placement and underwriting broker-dealer. Louis was responsible for overseeing all aspects of the firm’s compliance program.

Earlier in his career, Louis provided regulatory consulting service to registered investment advisers and broker-dealers at Petra Funds Group and Kroll. He began his regulatory compliance career at the Financial Industry Regulatory Authority (FINRA) where he was responsible for conducting routine and targeted examinations of broker-dealers and registered representatives.

Education

Bachelor of Business Administration in Finance, Saint Joseph’s University

Licenses

FINRA Series 7 and 24 licenses