Meet Neala Moore
With her legal background and experience in both the front office and back, Ms. Moore is uniquely qualified to help her clients navigate the current regulatory environment. She understands and responds to the demands that her clients face.
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Neala Moore began her career as an attorney in a private law practice in Bloomfield Hills, Michigan where she specialized in estate planning, probate, bankruptcy and asset protection. Looking for a different way to help people and use her skills, Neala left legal work and became an associate in the operations department of the boutique investment firm of Liberty Capital Management, LLC in Birmingham, Michigan.
Upon arriving in San Antonio, Texas in 2003, she moved from the back office to the front when she became a financial adviser with UBS Financial Services, Inc. As a financial adviser, Neala worked with individuals, high net worth individuals, trusts, businesses and charitable organizations. Her background as an attorney was particularly beneficial to her clients in developing investment strategies in coordination with the client’s attorneys, accountants, and third-party administrators. |
With a desire to put her skills to greater use in the financial services arena, she became the Director of Operations and Chief Compliance Officer for Matterhorn Capital Management, LLC. Ms. Moore developed their operations and compliance programs. The call to spread her entrepreneurial wings came in January 2012. With the encouragement and support of her former employer, she began Sapphire Compliance Management, LLC. Sapphire Compliance Management, LLC provides compliance consulting services to small and mid-size SEC and state registered investment advisers.
Ms. Moore returned to Michigan in 2018 to be closer to family. She continues to serve her clients in Texas and across the country.
Ms. Moore is a member of the National Society of Compliance Professionals and continues to run the Austin and San Antonio Compliance Roundtables. She has a 13-year-old Pomeranian rescue; her four-legged co-worker. She is also a devoted Hot Yoga practitioner, so she is prepared to confidently handle the stress and heat of the current compliance environment.
Ms. Moore obtained her Bachelor of Arts from the University of Chicago before receiving her law degree from Wayne State University in Detroit, Michigan. She is a member of the State Bar of Michigan and State Bar of Texas.
Ms. Moore has passed the following exams and/or held the following licenses:
Ms. Moore returned to Michigan in 2018 to be closer to family. She continues to serve her clients in Texas and across the country.
Ms. Moore is a member of the National Society of Compliance Professionals and continues to run the Austin and San Antonio Compliance Roundtables. She has a 13-year-old Pomeranian rescue; her four-legged co-worker. She is also a devoted Hot Yoga practitioner, so she is prepared to confidently handle the stress and heat of the current compliance environment.
Ms. Moore obtained her Bachelor of Arts from the University of Chicago before receiving her law degree from Wayne State University in Detroit, Michigan. She is a member of the State Bar of Michigan and State Bar of Texas.
Ms. Moore has passed the following exams and/or held the following licenses:
- National Futures Association, Managed Futures Business (Series 31)
- General Securities Representative (Series 7)
- Uniformed Combined State Law Exam (Series 66)
- Insurance with State of Michigan and State of Texas
- Retired member of the State Bar of Illinois