Holly Evans Mallory serves as Partner, Chief Compliance Officer (CCO), and Operations Director for Capital Investment Advisors (CIA). As CCO, Holly is responsible for overseeing regulatory compliance within the organization. She leads the team’s efforts regarding general RIA compliance with all laws, rules and regulations, due diligence, strategic alignment, overseeing compliance strategy within our service offerings and relationships, and manages other compliance needs as they arise. Holly is responsible for establishing and implementing procedures for the compliance program to be effective in identifying, preventing, detecting and correcting compliance risks.
As Operations Director, Holly is responsible for directing the day-to-day operational management of our firm. Holly oversees our Operations team, billing and reporting operations as well as spearheading various special projects that contribute to the growth of our organization. Holly is passionate about helping our team work efficiently and effectively so they can focus on maximizing the overall client experience.
Holly is a founding member of the CIA family, joining Mike Reiner in August 2000. Initially joining in a client services role, Holly learned the various ins-and-outs of the industry and developed many of the policies and procedures utilized by our team today. Over the years she donned many hats for the firm before settling into the roles she holds today.
Holly graduated from Kennesaw State University in 2000 with a Bachelor of Business Administration degree in Finance and in 2006 with a Master of Business Administration degree in Management. Holly also earned the NRS Investment Adviser Certified Compliance Professional® (IACCP®) designation.
Holly lives in Nashville with her husband, Drew, and daughters, Marly and Presley. She splits her time between home and our office in Atlanta. In her free time, you can often find Holly enjoying the incredible live music at the historic venues in Nashville or sampling the cuisine at the latest up-and-coming restaurant.