Phone: 207-747-5934
Our Team
Peter R. Guarino
President & Chief Compliance Officer
Peter Guarino has over 35 years of legal, global investment management regulatory and compliance experience. In addition to his role as President of Maine-based Compliance4, LLC, he and the firm provide comprehensive and customized compliance consulting services to investment advisers, registered investment companies and private funds. Currently he serves as the Independent CCO for ETFs and other funds, as well as other advisers to registered funds. Peter has served in senior compliance roles with several compliance consultancies where he was responsible for leading and developing their investment company compliance services. Peter also served as the independent Fund CCO for several series trusts and standalone registered investment companies and served as a consultant to investment advisers through a predecessor firm to Compliance4. He served as General Counsel and Global Chief Compliance Officer for a privately held investment company services firm. In addition to his compliance work, Peter has extensive business and administrative experience and served as the Chief Operating Officer of Merrill Corporation’s Investment Company Services division. Finally, Peter was Senior Counsel and Secretary at GT Global/LGT Asset Management in San Francisco. He began his legal career at The Dreyfus Corporation in New York. He is licensed to practice law in Massachusetts and New York. Peter received his J.D. from Suffolk University Law School in Boston and his B.A. from Rutgers University.
Elizabeth Hamilton-Guarino
Chief Executive Officer
Elizabeth Hamilton-Guarino is the Chief Executive Officer of Compliance4 and a veteran of the financial services industry. Throughout the 90s, Elizabeth helped test, train and implement the EDGAR system nationwide and implement modernization and the SEDAR System in Canada, as the Director of EDGAR and Regulatory Services at Merrill Corporation, and later, Integreon and American Financial Printing. Elizabeth has chaired several EDGAR conferences with the Securities and Exchange Commission.
Elizabeth is also a recognized leader and speaker in the field of personal and professional development development. She specializes in the topics of change, world class success and leadership. A sought after speaker, she is the founder of The Best Ever You Network. Elizabeth is the author of the award-winning and best-selling books The Change Guidebook and PERCOLATE - Let Your Best Self Filter Through. Since 2008, The Best Ever You Network has grown into a brand with more than one million followers on verified social media platforms and millions of radio listens and downloads on The Best Ever You Show.
As a result of these experiences, combined with her background and understanding of SEC and FINRA rules, Elizabeth also consults with companies to establish their compliant online presence. She is an expert in social media and the marketing and advertising rules. She is verified across all social media platforms.
Elizabeth graduated with honors in 1991 from St. Ambrose in Davenport, Iowa and attended Harvard Business School for Leadership. Elizabeth is the recipient of the 2019 Excellence in Finance — Leaders award for her significant contribution towards the financial sector from FiNext. Elizabeth is a member of the Forbes Business Council and serves as a Leadership Advisor for the Olympia Snowe Women's Leadership Institute. She and her husband Peter reside in Maine and have four sons.