• Compliance
• Marketing Support
• Plan Writing
• Other

Carr Schwartz Butterfield, LLC is committed to ensuring the future success of the independent investment advisors and investment professionals we serve. Our law firm specializes in legal and compliance issues facing investment advisors, we provide our clients knowledgeable, personalized and proactive services.

We currently serve over 200 investment advisory firms ranging from large SEC based investment advisory firms to state—based solo operations. Unlike many law firms which have little relevant experience, we specialize in a broad range of compliance, litigation defense and regulatory issues facing today's registered investment advisors and financial professionals.

You will discover our services differ greatly from the large impersonal compliance consulting companies which rarely provide services catered to your particular needs. Instead of your main contact being non—attorney staff persons, at Carr Schwartz Butterfield, LLC you work directly with attorneys who have years of experience with RIA regulatory compliance issues.

Let us assist you with your specialized needs and help ensure your success. Learn more about our attorney backgrounds below, or visit us at www.csb-llc.com.

John T. Carr

Mr. Carr represents investment professionals in cases before the Circuit Courts for the State of Oregon, the United States District Court for the District of Oregon, SEC, NASD, CFP Board of Standards, and regulatory bodies for the States of Oregon, Washington, and Idaho. Mr. Carr is experienced in matters related to claims defense, licensing, professional discipline, regulatory violations, audit compliance, and structuring. Mr. Carr is a member of the Oregon State Bar, Washington State Bar, US District Court for the District of Oregon, the Ninth Circuit Court of Appeals, and Oregon State Bar Securities and Business Sections.

Mr. Carr is a graduate of Pacific Lutheran University where he was president of the Student Senate and interned for U.S. Senator Mark O. Hatfield. Mr. Carr earned his law degree from Willamette University's College of Law where he was an active member of the Moot Court Board and received a Certificate of Dispute Resolution. Mr. Carr is the current director of Government and Regulatory Affairs for the Oregon and Southwest Washington chapter of the Financial Planning Association, and was recently appointed to the Financial Planning Association's National Government Relations Committee.

Todd E. Schwartz

Mr. Schwartz has in—depth experience serving as an advocate for investment advisory firms and their investment advisor representatives. He has defended investment advisory clients in mediations, arbitrations and trials. Mr. Schwartz has licensed investment advisory firms in Washington, Oregon, California, Alaska, Ohio, Texas and other states. He has a specialized knowledge of the IARD and CRD electronic filing systems. Mr. Schwartz is a member of the Oregon State Bar.

Mr. Schwartz graduated with honors from Willamette University. He earned his law degree at the University of Oregon School of Law where he was a law review staff editor and served as chairperson for the Dean's Advisory Committee. Mr. Schwartz most recently was corporate counsel for Inteliant Corporation, a national information technology firm with over 700 employees and annual gross revenue in excess of 100 million dollars. Previously, Mr. Schwartz worked as an administrative law judge for the Oregon Employment Department and served as the Department's legislative liaison during the 1995 Oregon legislative session.

Lisanne M. Butterfield

Ms. Butterfield's litigation experience began as a law clerk in the securities litigation department of a large New York law firm. Subsequently, as a third—year law student, Ms. Butterfield served a one—year judicial clerkship for the (now—deceased) Honorable Stephen B. Herrell, Multnomah County Circuit Court of Oregon. This judicial clerkship introduced Ms. Butterfield to the full range of Oregon state court practices. In 1991, Ms. Butterfield graduated from Willamette University, College of Law.

Subsequently, Ms. Butterfield joined a local insurance defense firm and from there developed her defense litigation practice, with a particular focus on professional and municipal liability, and employment law matters. Ms. Butterfield also worked in the Guam office of a large Honolulu—based firm, which predominantly served insurance companies and banking financial institutions in the Western Pacific region. While in Guam, Ms. Butterfield also served as lead local trial attorney for commercial litigation, employment disputes, and insurance defense matters litigated in the local (territorial) and United States federal courts. While on the Island of Guam, Ms. Butterfield's practice included complex tax litigation, bankruptcy litigation, construction litigation, foreclosure proceedings, consumer fraud, and maritime/ admiralty matters. Ms. Butterfield also managed large cases involving white—collar criminal allegations and employment disputes.

With sixteen years of litigation experience, Ms. Butterfield has represented multinational corporations and small, emerging entities in state and federal courts throughout Oregon, with a particular focus on commercial and insurance litigation. These matters included the litigation of the defense and indemnity obligations of insurers.

Ms. Butterfield's most recent litigation experience includes a wide variety of complex business litigation matters, including breach of contract claims, business torts, copyright/trademark infringement, construction defect claims, legal ethics advice, professional malpractice defense, real property disputes and employment law.