Ms. Fuller manages the legal, compliance and risk concerns for RiverRock. She also serves as Principal of RiverRock Advisers, LLC, the Houston branch of Equus Financial Consulting LLC, an affiliated broker-dealer, and Chief Compliance Officer of RiverRock Asset Management, LLC, an affiliated investment advisor. Ms. Fuller is a Texas and New York licensed attorney with eleven (11) years of legal experience that include extensive work with private placements, broker-dealers, corporate formation and governance, securities regulation and litigation. Ms. Fuller graduated cum laude from the University of Houston Law Center with a Doctor of Jurisprudence and, prior to that, earned her Bachelor of Arts degree magna cum laude from the University of North Texas. She holds the Series 7, 24, 66, 79, and 99 licenses.