Guy Scott — Chief Compliance Officer · Pennington Partners & Co.

Guy Scott — Chief Compliance Officer · Pennington Partners & Co. · Bethesda, Maryland, United States.

Direct contact

No direct contact on file for Guy yet.

About

Pennington Partners & Co. is an award-winning* multi-family office founded by entrepreneurs to serve entrepreneurs, business owners, and families of significant wealth. Dedicated to elevating the lives of its clients, the firm integrates investment management, tax and estate planning coordination, and financial administration into a comprehensive family office relationship. With approximately $5 billion in assets under advisement as of December 31, 2025, Pennington combines the capabilities of a sophisticated family office with a highly personalized approach. The firm focuses on enhancing after-tax outcomes, preserving wealth across generations, and simplifying the complexities of its clients' financial lives.*Pennington Partners was named Best Multi-Family Office Up To $25bn at the 2025 Private Asset Management Awards, which are presented by With Intelligence and recognize excellence in the wealth management industry. Candidate firms do not pay a fee for consideration. Honorees pay to license the use of award logos. The date the award was given was January 5, 2025, and judges credited both performance over the prior year and longer-term performance. For more information on the award and details on the selection process, please click here.

Experience

Chief Compliance OfficerCurrent
Pennington Partners & Co. · Bethesda, Maryland, United States
Feb 2017 – Present
 Served as Deputy CCO and Principal Compliance Consultant to Pennington and its affiliates  Manages all aspects of the compliance program pursuant to federal securities laws  Prepares and files Form ADV Part I, Part 2A, Part 3, CRS, Form D, Form PF and other regulatory filings related to the investment advisers and investment funds  Advise on compliance matters regarding the investment advisers and investment funds pursuant to the Investment Advisers Act of 1940 and Investment Company Act of 1940  Educates and trains employees on strict adherence to the Code of Ethics and reporting requirements  Performs annual compliance reviews and employee quarterly and annual certifications, including Personal Securities Transactions, Political Contribution, Gifts and Entertainment, Outside Business Activities and other disclosures  Provides ongoing compliance support and guidance to the former CCO and Member Partners in managing their day-to-day compliance program  Instrumental in documenting wire transfer procedures and control measures on the protection of client capital in the firm  Performs quarterly risk assessments to identify compliance gaps in the compliance program and recommend enhancements to strengthen controls  Conducts AML and KYC screening as part of onboarding process for new fund investors