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Karl E. Hausafus, JD

General Counsel and Chief Compliance Officer, Principal

Karl Hausafus is dedicated to ensuring independence and integrity of Arnerich Massena and the investment services the firm provides to clients, assuring that the firm is held to the highest standards of compliance and industry best practices.

As general counsel and chief compliance officer for more than eight years, Karl bears overall responsibility for the firm’s legal and compliance functions, serving the legal needs of the business while managing the firm’s compliance program and ensuring compliance with all federal securities laws.

Karl’s legal and compliance experience spans over 20 years, including having served as chief legal officer for Saturna Capital Corporation, a global asset management firm; as general counsel and chief compliance officer for the Oregon State Treasury and its $90 billion investment program; as general counsel and chief compliance officer of Compass Holdings, LLC, an Oregon-based private investment fund manager; and as senior associate attorney with Preston Gates & Ellis, LLP (n.k.a. K&L Gates LLP).

Karl Hausafus earned his Juris Doctorate from Northwestern School of Law of Lewis & Clark College, while working full time in the finance industry, and holds a Bachelor of Science in marketing and business management from the University of Oregon. He is a former FINRA Series 7 and 24 license holder, and current FINRA Series 66 license holder.

Karl has volunteered as an I AM Learning Partner in Arnerich Massena’s award-winning I AM Learning Partnership community service programs.

While clients may not interact with Karl frequently, he is a steadfast presence within the firm. Counseling the firm on a broad range of issues, he is passionate about the company’s investment process and client service. From cybersecurity to private placement life insurance to investment manager due diligence, Karl is involved behind the scenes in most of what the firm does.