Document:

Exhibit 10.16

 

Employment Agreement

 

This EMPLOYMENT AGREEMENT (this “Agreement”)
is made as of and entered into as of this 12th day of February, 2014 by and between Edward Swenson (“Swenson”)
and Dynasty Financial Partners, LLC (the “Company”).

 

BACKGROUND:

 

Ed Swenson is the Chief Operating Officer Swenson
of the Company. The Company wishes to continue to engage Swenson in that capacity and Swenson is willing to be so engaged by the Company,
in each case, subject to the terms and conditions of this Agreement.

 

NOW, THEREFORE, for good and valuable
consideration, the receipt and sufficiency of which is hereby acknowledged, and intending to be legally bound hereby, the Company and
Swenson agree as follows:

 

		1.	Title and Duties: Swenson shall be the Chief Operating Officer (“COO”) of the Company reporting directly to the
Company’s Chief Executive Officer and President. As COO, Swenson shall have such powers and perform such other duties as usually
pertain to such office of a limited liability company under Delaware law and have such other powers and perform such other duties as may
be assigned to Swenson by the Chief Executive Officer of the Company. Swenson shall devote all of his business time, attention and energy
to the business of the Company. Subject to approval of the Board, it is understood that Swenson will be able to devote a portion of his
business time to for-profit corporate boards of directors and charitable and other non-profit activities.

 

		2.	Term: Subject to the terms and conditions set forth herein and subject to the earlier termination of Swenson’s employment
with the Company, Swenson shall provide services to the Company and the Company shall compensate Swenson for an initial term commencing
as of the Effective Date (as defined below) and continuing through December 31, 2016, with such arrangement to continue for successive
one-year periods in accordance with the terms of this Agreement (subject to earlier termination of Swenson’s employment with the
Company) unless the Company or Swenson notifies the other party of non-renewal in writing prior to three (3) months before the expiration
of the initial term and each annual renewal, as applicable. The period during which Swenson provides services hereunder shall hereinafter
be referred to as the “Term” and subsequent terms as “Successive Terms.”

 

Notwithstanding the above, upon the company’s adoption
of employment and termination policies covering the position of Chief Operating Officer the renewal provision of this agreement shall
terminate.

 

		3.	Effective Date of Employment: This Agreement shall be effective as of January 1, 2014 (the “Effective Date”).

 

     

     

    

 

		4.	Compensation:

 

		a.	Base Salary: Swenson’s base salary shall be $225,000 per annum, which shall be payable in accordance with the Company’s
payroll policies. The Board shall consider, in its sole discretion, upward adjustments in Swenson’s base salary (the amount of base
salary paid to Swenson during the Term shall hereinafter be referred to as “Base Salary”).

 

		b.	Incentive Based Compensation: On an annual basis, Swenson shall be eligible to receive additional compensation contingent upon
the Company’s financial performance and Swenson’s performance in providing services to the Company (“Incentive Based
Compensation”). The decision whether to pay any Incentive Based Compensation to Swenson, and the dollar value of such Incentive
Based Compensation, shall be determined in the sole discretion of the Board on an annual basis, with input from the Company’s Compensation
Committee.

 

		c.	Profits Interests: Swenson shall be eligible to participate in any equity plans of the Company, in each case subject to the
terms and conditions of such plans, and Swenson’s participation in the Company’s equity plans shall include, but not be limited
to, his being eligible to receive profits interests (or “Class P Interests”) if available in the Company.

 

		5.	Benefits: The Company will provide care and 403(b) retirement plan benefits similar to those provided to other senior
executives at the Company. During the Term, Swenson shall be eligible to participate in any benefit plans of the Company, in each case
to the extent that Swenson is eligible under the terms of such plans, including, without limitation, group insurance, hospitalization,
medical and disability plans, and Swenson shall be afforded participation in other benefits extended by the Company from time to time
to its employees, in each case to the extent that Swenson is eligible under the terms of such plans, such as vacations, holidays, sick
leave and related programs. The Company may, at any time, terminate any of these plans or benefits with respect to all of its employees,
to the extent permitted by applicable law, without the consent of Swenson.

 

		6.	Reimbursement of Expenses: The Company shall reimburse Swenson for all reasonable and necessary business and professional expenses
incurred by Swenson in the performance of his duties to the Company submitted in a timely manner and as provided in the business expense
policies adopted by the Company from time to time.

 

		7.	Vacation: Swenson shall be entitled to vacation of twenty (20) business days per annum in addition to the holiday days afforded
to the Company’s employees. Any unused vacation days shall not rollover into the next calendar year.

 

		8.	Termination:

 

		a.	If Swenson is terminated by the Company other than for “Cause,” then Swenson shall
                                                                receive a severance payment in the amount of two (2) times Swenson’s total annual cash compensation, inclusive of the
                                                                base salary and bonus (the “Severance Payment”). The Company also agrees to continue to provide
Health Care benefits to Swenson for an 18 months period commencing on the first day of the month following his termination.

 

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		b.	For purposes of this Agreement, the term “Cause” shall mean Swenson’s (i) commission of fraud, gross negligence,
reckless or intentional misconduct, embezzlement, (ii) pleading guilty or no contest to or being convicted of a crime involving moral
turpitude, (iii) breach of any material term of this Agreement which is not cured within thirty (30) days of Swenson’s receiving
notice of such breach from the Company, or (iv) voluntary resignation of his employment with the Company (other than for Good Reason
as defined below).

 

		c.	For purposes of this Agreement, Swenson’s termination for “Good Reason” shall mean (i) Swenson choses to resign
because he is no longer Chief Operating Officer, is not elected to the Board, or Swenson’s duties and responsibilities are significantly
diminished in a material manner, or (ii) within twelve (12) months following a Change of Control (as defined below) of the Company,
Swenson’s employment with the Company is terminated by the Company other than for Cause.

 

		d.	For purposes of this Agreement, the term “Change of Control” shall mean a transaction or series of related transactions
in which there is (i) a change of ownership, directly or indirectly, of the ownership interests in the Company representing fifty
percent (50%) or more of the combined voting power of the Company’s then outstanding securities, or (ii) a sale of all or substantially
all the Company’s assets (not including a sale of assets or other fundamental corporate transaction not followed by a liquidation
of the Company).

 

		e.	The payment of any severance contemplated pursuant to this Section 8 shall be conditioned on Swenson’s execution of a general
release in favor of the Company, which release shall be in a form satisfactory to the Company. The payment of any severance contemplated
pursuant to this Section 8 shall be paid to Swenson, by wire transfer of immediately available funds, in four (4) equal installments
on each [March 1, June 1, September 1 and December 1] (or if such date falls on a weekend or national holiday, the
next business day thereafter) (each, a “Payment Date”), commencing on the first Payment Date and terminating on the
fourth Payment Date, in each case, occurring after the termination of Swenson’s employment with the Company (the “Severance
Period”); provided, however, that in the event that, during the Severance Period, Swenson secures full-time employment with
comparable compensation and benefits to that which Swenson received from the Company during his employment therewith (whether as an employee,
consultant or otherwise), the obligation of the Company to pay any remaining unpaid installments of severance shall cease. If Swenson
secures employment during the Severance Period, Swenson shall immediately notify the Company in writing of such employment and shall provide
the Company with details regarding Swenson’s compensation and benefits in connection with such employment.

 

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		9.	Purchase of Swenson Company Interests Upon Termination:

 

 a.   If Swenson’s employment is terminated (i) by the Company without Cause, (ii) by the Company due to its non-renewal in accordance with Section 2 hereof of the initial Term of this Agreement and two Successive Terms of one year each (for a total of five years), (iii) by Swenson for Good Reason, or (iv) due to his death or Disability (as defined below) then Swenson (and for purposes of this Section 9 in the case of his death or Disability his estate or guardian) shall have the right (the “Put Right”), in his sole discretion, to put to the Company and, if such right is exercised, the Company shall have the obligation to purchase from Swenson, up to [twenty five percent (25%)] of each class of ownership interests in the Company (including, without limitation, Class A Common Interests, Class B Common Interests and/or Class P Interests) owned by Swenson at the time of the Put Right Termination. The Company’s obligation shall be capped at no more than twenty-five percent (25%) of the Company’s available equity at time of the termination less any amounts paid or scheduled to be paid pursuant to the Severance Payment obligation (the “Put Payment Cap”). Swenson shall have thirty (30) calendar days following the date of the Put Right Termination to provide the Company with written notice (the “Put Notice”) of his election to exercise the Put Right, and the Put Notice shall specify the number and class(es) of the ownership interests in the Company which Swenson has elected to put to the Company pursuant to the Put Right (such ownership interests, collectively, the “Put Right Securities”). Upon receipt of the Put Notice, the Company shall have the obligation to purchase the Put Right Securities from Swenson for a purchase price equal to the aggregate fair market value of the Put Right Securities, which shall be determined by the Board in good faith (and which determination shall be binding and conclusive on the Company and Swenson).

 

 b.   In the event Swenson elects to exercise the Put Right, Company will have a corresponding right to match the Put Right and buy from Swenson up to an equivalent number of interests owned by Swenson (the “Call Right”). The Company shall have fifteen (15) calendar days following the date of the Put Notice to provide Swenson with written notice (the “Call Notice”) of its election to exercise the Call Right, and the Call Notice shall specify the number and class(es) of the ownership interests the Company has elected to call from Swenson (the “Call Right Securities”). The payment of any amounts in consideration of the Put Right or Call Right Securities shall be paid to Swenson in eight quarterly equal installments, commencing on the first Payment Date 60 days from the termination date and terminating on the eighth Payment Date, in each case, occurring after the Put Right Termination.

 

 c.   If at the time of Swenson’s termination, any other Company employee(s) with similar put right(s) seek to exercise such right(s) with respect to their ownership interests in the Company (a “Third Party Put Right”), then the Third Party Put Right(s) and Swenson’s Put Right shall be aggregated and the Company’s obligation shall be capped at no more than forty percent (40%) of the Company’s available equity at time of the termination less any amounts paid or scheduled to be paid pursuant to the Severance Payment obligations for each of the individuals and such payments will be shared pro rata based on Swenson’s and each of the third party’s ownership interests in the Company at the time of termination.

 

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 d.   For purposes of this Agreement, the term “Disability” means a disability which renders Swenson incapable of performing all of his duties hereunder for a period of at least (i) ninety (90) consecutive days, or (ii) one hundred eighty (180) non- consecutive days during any consecutive twelve-month period.

 

		10.	Effect of Termination on Class P Interests: If Swenson’s employment with the Company is terminated, for any reason
whatsoever, and at the time of termination, Swenson is the holder of any Class P Interests in the Company then:

 

		a.	All of Swenson’s right to receive any unvested Class P Interests shall be forfeited, and the Company shall have no further
obligation to issue to Swenson any such Class P Interests.

 

		b.	ii. For sixty (60) business days following the date of Swenson’s termination, the Company shall have the right to purchase from
Swenson, and Swenson shall have the obligation to sell to the Company, any or all of his right, title and interest in, to, and under the
Class P Interests which have vested as of the date of Swenson’s termination. The purchase price for any Class P Interests
sold by Swenson to the Company shall be equal to the fair market value of such Class P Interests as of the date of Swenson’s
termination, as reasonably determined in good faith by the Board of Managers of the Company, in its sole discretion, which determination
shall be binding upon Swenson and the Company. The purchase price shall be payable over a period of one (1) year in quarterly installments
with interest at the prime rate.

 

		c.	In the event that the termination is for Cause or if Swenson voluntarily resigns from the Company, a liquidity discount of 50% will
apply to the Class P Interests (the “Liquidity Discount”) the Company may elect to purchase. The Liquidity Discount shall
expire on the earlier of the fourth anniversary of the grant of the Class P Interests or in the event of a Drag Along Sale as defined
in the Amended and Restated Operating Agreement of the Company dated as of November 9, 2010.

 

		iv.	Subject to approval by the Company’s Board of Directors with respect to the Class P Interests, in the event of Swenson’s
death or permanent disability Class P Interests will transfer to his estate.

 

		11.	Board of Directors: Swenson shall serve on the Board of the Company and shall be entitled to indemnification from lawsuits
in connection with his service as a member of the Board and shall have coverage under the Company’s Director and Officer Insurance
Policy on the same terms as other members of the Board.

 

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		12.	Confidentiality; Non-Solicitation. Swenson hereby acknowledges and agrees to the obligations set forth in the Confidentiality
and Non-Solicitation Agreement (the “Confidentiality Agreement”) executed on or about August  , 2011 and attached
hereto as Exhibit A.

 

		13.	Notices. All notices of request, demand and other communications hereunder shall be addressed to the parties as follows:

 

If to Swenson:

 

With a copy to:

 

			If  to the Company:	Dynasty Financial Partners, LLC

1350 Avenue of the Americas, 32nd Floor

New York, NY 10019

		Attention:	Chief Legal & Governance Officer

		Facsimile:	(212) 373-1050

		Email:	jmorris@dynastyfinancialpartners.com

 

unless the address is changed by the party by like notice
given to the other parties. Notices, consents, waivers or other communications referred to in this Agreement may be sent by facsimile,
e-mail, or other method of delivery, but shall be deemed to have been delivered only when the sending party has confirmed (by reply e-mail
or some other form of written confirmation from the receiving party) that the notice has been received by the other party.

 

		14.	Successors; Binding Agreement: This Agreement shall be binding on the heirs, administrators and personal representative
of Swenson and upon the successors and permitted assigns of the Company.

 

		15.	No Third Party Beneficiaries: This Agreement does not create, and shall not be construed as creating, any rights enforceable
by any person not a party to this Agreement (except as provided in Section 9 hereof).

 

		16.	Entire Agreement; Modification. This Agreement sets forth the entire understanding of the parties with respect to the
subject matter hereof and supersedes all existing agreements, understandings or representations concerning such subject matter. This Agreement
may be modified only by a written instrument duly executed by each party hereto.

 

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		17.	Waiver: Any waiver by either party of a breach of any provision of this Agreement shall not operate as or be construed to be
a waiver of any other breach of such provision or of any breach of any other provision of this
Agreement. The failure of a party to insist upon strict adherence to any term of this Agreement on one or more occasions shall not be
considered a waiver or deprive that party of the right thereafter to insist upon strict adherence to that term or any other term of this
Agreement. Any waiver in connection with this Agreement must be in writing.

 

		18.	Assignment: Neither this Agreement nor either party’s rights hereunder may be assigned, and neither party’s obligations
hereunder may be delegated, by operation of law or otherwise, to anyone without the prior written consent of the other party to this Agreement;
provided, however, that the Company may assign this Agreement to an affiliate of the Company, to any successor entity of the Company in
connection with a Change of Control of the Company.

 

		19.	Severability: In case any one or more of the provisions contained in this Agreement shall be invalid or unenforceable in any
respect, the validity and enforceability of the remaining provisions contained herein shall not in any way be affected or impaired thereby
and the parties will attempt to agree upon a valid and enforceable provision which shall be a reasonable substitute for such invalid and
unenforceable provision in light of the tenor of this Agreement, and, upon so agreeing, shall incorporate such substitute provision in
this Agreement.

 

		20.	Section Headings: All section headings herein are inserted for convenience of reference only and shall not affect the
meaning or interpretation of this Agreement.

 

		21.	Counterparts; Governing Law: This Agreement may be executed in any number of counterparts, each of which shall be deemed an
original, but all of which together shall constitute one and the same instrument. This Agreement shall be governed by and construed in
accordance with the laws of the State of New York,

 

without regard to the principles of conflicts of laws that
would result in the application of the laws of another jurisdiction.

 

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

 

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EXECUTION COPY

 

IN WITNESS WHEREOF, the parties have executed and
delivered this Employment Agreement in on the date first above written.

 

	 	DYNASTY FINANCIAL PARTNERS, LLC
	 	 	 
	 	 	 
	 	By	/s/ Shirl Penney
	 	Name:	Shirl Penney
	 	Title:	CEO

 

 

	 	Agreed and Accepted:
	 	 	 
	 	 	 
	 	By	/s/ Edward Swenson
	 	Name:	EDWARD SWENSON

 

[Signature Page to Edward Swenson Employment
Agreement]Exhibit 10.18

 

 

 

	330 Ave. of the Americas	
	39th Floor	 
	New York, NY 10019	 
	P 212.373.1000	 
	F 212.373.1050	 

 

August 15, 2012

 

Jonathan R. Morris

 

 

Dear Jonathan,

 

The purpose of this letter (this “Agreement”)
is to set forth our mutual understanding to have you join Dynasty Financial Partners, LLC (“Dynasty”) in an executive position.

 

We have designed a compensation structure which reflects
Dynasty’s priorities and aligns interests between Dynasty and each of its executives.

 

Dynasty hereby offers the following:

 

		1.	Position: Chief Legal and Governance Officer with all the responsibilities and goals as set forth in the attached Exhibit A.

 

		2.	Time Commitment: Full time will be devoted to the business of Dynasty and the duties of your position.

 

		3.	Effective Date: September 4, 2012 (“Effective Date”).

 

		4.	Compensation: $175,000 annual base salary, commencing on the Effective Date payable in accordance with Dynasty’s policy.

 

		5.	Benefits: Health and medical benefits consistent with Dynasty policy with respect to all employees: 70% paid for by Dynasty
and 30% paid for by you, the employee.

 

		6.	Incentive Compensation: Along with all of Dynasty’s employees, you will be eligible to receive incentive compensation,
which shall be granted to you at the sole discretion of Dynasty’s Compensation Committee, and shall be based upon your achievement
of the goals and objectives set forth in the attached Exhibit A and the overall success of the firm as a whole.

 

		7.	Equity: Subject to vesting and other conditions set forth in this section and Section 8 hereof, promptly after the Effective
Date, you will be granted 300,000 Class P Interests in Dynasty (“Class P Interests”), at the current firm valuation
($2.75 per Interest) which is the fair market value on the date hereof, with the following vesting schedule:

 

		i.	On September 4, 2012, 100,000 Class P Interests shall
vest; and

 

www.dynastyfinancialpartners.com

    

     

    

 

		ii.	On September 4, 2013, 100,000 Class P Interests shall vest, contingent upon your having met the goals and objectives set
forth in the in the attached Exhibit A as of such date (such determination to be made by Dynasty, in its sole discretion); and

 

		iii.	On September 4, 2014, 100,000 Class P Interests shall vest, contingent upon your having met the goals and objectives set
forth shall be made by Dynasty, in its sole discretion).

 

		8.	Effect of Termination: If, following the Effective Date, your employment with Dynasty is terminated, for any reason whatsoever,
then:

 

		i.	All of your right to receive any unvested Class P Interests pursuant to Section 7 hereof following the date of your termination,
shall be forfeited, and Dynasty shall have no further obligation to issue to you any Class P Interests pursuant to Section 7
following the date of your termination; and

 

		ii.	For the period of sixty (60) business days following the date of your termination, Dynasty shall have the right to purchase from you,
and you shall have the obligation to sell to Dynasty, any or all of your right, title and interest in, to, and under the Class P
Interests which have vested pursuant to Section 7 as of the date of your termination less a 50% liquidity discount. The purchase
price for any Class P Interests sold by you to Dynasty pursuant to this Section 8(ii) shall be equal to the fair market
value of such Class P Interests as of the date of your termination, as determined in good faith by the Board of Managers of Dynasty,
in its sole discretion, which determination shall be binding upon you and Dynasty. The purchase price shall be payable over a period of
one (1) year with interest at the prime rate.

 

		9.	Severance: You will be entitled to receive four (4) weeks paid severance at your base salary unless terminated for cause
or if you voluntarily leave the employ of Dynasty. For purposes of this Section 9, the term “cause” shall mean your (i) commission
of, and indictment for, or formal admission to, a felony, or any crime of moral turpitude, dishonesty, breach of trust or unethical business
conduct, or any crime involving Dynasty; (ii) engagement in fraud, misappropriation or embezzlement; or (iii) continued failure
to materially adhere to the lawful directions of Dynasty’s Board of Managers, Chief Executive Officer, or Dynasty’s written
policies and practices.

 

		10.	Equity Investment in Dynasty:

 

		i.	You will be offered the right to purchase an aggregate of up to $50,000 of Class A Membership Interests of Dynasty
                                                              (“Class A Interests”) within fifteen (15) days following the Effective
Date (“Exercise Period”). To exercise your right to purchase Class A Interests during the Exercise Period, you are required
to notify Dynasty in writing during the Exercise Period of your election to purchase Class A Interests and such notice shall specify
the number of such Class A Interests to be purchased and shall be accompanied by the purchase price for the Class A Interests,
together with a subscription, joinder and other agreements required to be executed by you, in Dynasty’s sole discretion, relating
to your purchase.

 

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		ii.	If, upon the termination of your employment at Dynasty, you own Class A Interests, then, for the period of sixty (60) business
days following the date of your termination, Dynasty shall have the right, but not the obligation, to purchase from you, and you shall
have the obligation to sell to Dynasty, any or all of your right, title and interest in, to, and under the Class A Interests The
purchase price for any Class A Interests sold by you to Dynasty pursuant to this Section 10 shall be equal to the fair market
value of such Class A Interests as of the date of your termination, as determined in good faith by the Board of Managers of Dynasty,
in its sole discretion, which determination shall be binding upon you and Dynasty. The purchase price shall be payable over a period of
one (1) year with interest at the prime rate.

 

Your employment with the Company will be “at will,”
and either you or Dynasty will have the unrestricted right to terminate your employment at any time and for any or no reason, with two
(2) weeks’ prior written notice (such notice may be waived upon the written consent of both parties). You will be given semi-annual
reviews which will allow you to have performance evaluation discussions with senior management of Dynasty.

 

You acknowledge and affirm that: (a) you are not subject
to any agreement with your current or any prior employer which restricts your ability to compete with such employer or to solicit or otherwise
do business with any customers (former, current or potential) or employees (former or current) of your current or any former employer
or which includes any other post-termination restrictions of any kind (including, but not limited to, restrictions regarding confidential
information); and (b) you will not disclose to or use for the benefit of Dynasty any confidential and/or proprietary information
which you acquired in the course of your employment with your current or any prior employer, regardless of whether there is an agreement
with your current or any prior employer protecting such confidential and/or proprietary information.

 

You agree that contemporaneously with the execution of this
Agreement, you will execute the Confidentiality and Non-Solicitation Agreement (the “Confidentiality Agreement”) attached
hereto as Exhibit B, and that this Agreement will not be effective unless and until you have executed the Confidentiality Agreement.

 

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This Agreement has been made and is governed by and is construed
in accordance with the laws of the State of New York, without regard to its conflict of law principles.

 

The parties are each responsible for their own expenses and
fees incurred in connection with the discussions and negotiations contemplated in this Agreement, whether or not a definitive agreement
is consummated.

 

If the foregoing terms and conditions reflect accurately
and completely our understanding, please countersign this Agreement below and return the same to Dynasty, whereupon it shall become a
binding agreement between us.

 

Very truly yours,

 

DYNASTY FINANCIAL PARTNERS, LLC

 

	By	/s/ Shirl Penney	 
	Name:	Shirl Penney	 
	Title:	President and Chief Executive Officer	 

 

AGREED TO AND ACCEPTED this 17  day of August,
2012:

 

	/s/ Jonathan R. Morris	 
	Jonathan R. Morris	 

 

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EXHIBIT A

 

Chief Legal & Governance Officer

 

The Chief Legal & Governance Officer (“CL/CGO”),
or such other title as the parties may agree to, is charged with managing all of the legal and compliance issues of Dynasty. This will
include responsibility for all legal issues such as reviewing contracts, drafting agreements, acting as a liaison to Dynasty’s outside
counsel, and representing Dynasty on any legal matters that impact or may impact Dynasty. The CL/CGO will also be responsible for developing
and maintaining Dynasty’s compliance programs in accordance with the applicable rules and regulations, including, but not limited
to, coordination of all internal and external audits and examinations related to the advisory practices. The CL/CGO position is critical
to Dynasty’s continued development and the CL/CGO will work closely with other members of Dynasty for developing an effective and
appropriate legal compliance program. The CL/CGO will be expected to be a key contributor to the strategic direction of Dynasty and will
report directly to Dynasty’s Chief Executive Officer.

 

Key Responsibilities of the position:

 

		·	Perform core legal and compliance functions with the objective of ensuring that Dynasty is in good standing with all relevant regulatory
agencies.

		·	Review and negotiate all contracts with the purpose of putting Dynasty in a favorable position from both a legal and economic perspective.

		·	Review, enhance, audit, and maintain compliance and legal programs.

		·	Develop policies and procedures that reflect changes in business, regulation, and evolving views in the industries in which Dynasty
operates.

		·	Prepare for and respond to regulatory requests.

		·	Prepare reports for Dynasty’s Board of Directors, Investment Committee and/or other committees, and for external parties
such as may be required of the position.

		·	Strategically design and tactically implement, along with Dynasty’s management, Dynasty’s registered investment adviser
(RIA) compliance program.

		·	Ensure Form ADV and related brochures are current and updated, as required.

		·	Exercise independent legal judgment on matters related to Dynasty, balancing business risk, policy considerations and regulatory considerations.

		·	Draft registration and proxy statements, as required.

		·	Analyze regulatory, investment and trading issues that affect Dynasty.

		·	Along with Series 24 licensed persons (where applicable), review marketing materials, as needed.

		·	Participate in evaluation of risk and operational matters, and provide guidance to Dynasty on all matters concerning both legal and
compliance.

		·	Provide support to Dynasty’s internal advisory team, including, but not limited to, providing advice regarding various legal
and regulatory issues.

		·	The CL/CGO will serve as a general resource for Dynasty’s advisory partners but will not act as their counsel or be deemed to
represent them with respect to specific legal compliance matters.

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