Legal and Compliance
General Counsel, Managing Director
Jay joined the Firm in 1999 and currently serves as General Counsel, Managing Director, and is a member of the Board. He oversees all aspects of the Firm’s legal affairs, advises on all material compliance matters, and is responsible for the Firm’s corporate governance. Jay is the Firm’s Anti-Money Laundering Officer and also serves as a Director for several private funds managed by subsidiaries of the Firm. He is also Vice President and Assistant Secretary for Kinetics Mutual Funds, Inc., a series of U.S. mutual funds managed by Horizon Kinetics Asset Management LLC, a subsidiary of the Firm. Jay also serves as the General Counsel of FRMO Corp., a publicly traded company. Jay holds a BA in Economics from the State University of New York at Plattsburgh (cum laude) and a JD from Albany Law School.
Chief Compliance Officer, Associate General Counsel
Russ joined the Firm in 2005 and currently serves as the Chief Compliance Officer and Associate General Counsel. He oversees the Firm’s compliance program and supports all legal and regulatory functions. Russ has substantial experience with the rules and regulations governing the investment management industry and is a frequent speaker at various industry events. He is also a member of several of the Firm’s operating committees and is the Anti-Money Laundering Compliance Officer for the Firm’s offshore private funds. Russ holds a BA in Legal Studies from Quinnipiac University (cum laude) and a JD from Albany Law School.
Andrew M. Fishman
Associate General Counsel
Andrew joined the Firm in 1997 and currently serves as an Associate General Counsel, with over thirty years of experience. He is also the Chief Compliance Officer of Kinetics Mutual Funds, Inc., a series of U.S. mutual funds managed by Horizon Kinetics Asset Management LLC. Previously, Andrew worked at Bankers Trust Company after starting his career with a law firm. He holds a BA from the University of Michigan and a JD from Columbia University School of Law.
Senior Compliance Officer, Vice President
Allison joined the Firm in 2015 and currently serves as the Senior Compliance Officer in the Legal and Compliance Department. She is responsible for a variety of critical compliance functions and provides support to the legal division. Allison is also the Chief Compliance Officer for the Firm’s two affiliated broker-dealers, along with being the Deputy Anti-Money Laundering Reporting Officer for the Firm’s offshore private funds. Previously, Allison worked as a Compliance Associate for a New York-based comprehensive wealth management firm. While there, she was responsible for overseeing day-to-day compliance matters and working with the firm’s registered representatives. Prior to that, she was a Legal Assistant with a law firm in Chicago, IL. Allison holds a BA in Political Science from Indiana University.
Wayne joined the Firm in 2003 and currently serves as a Compliance Associate in the Legal and Compliance Department. Among other things, he is responsible for administering many of the Firm’s policies and procedures, with particular expertise in issues related to the Code of Ethics. Prior to joining the Firm, Wayne was a manager in the Commissions Accounting Group of Deutsche Bank Private Banking, where he oversaw commission and workflow processes. Prior to this, Wayne served as a Senior Fund Accountant for more than 10 years in the Collective Investment Funds Department of the Private Bank at Bankers Trust Company, where he supervised the reconciliations of monthly portfolio valuations.