Title
Vice President, regulatory and compliance group
Company
Broadridge
Bio
Paul Ellenbogen is a vice president in Broadridge’s regulatory and compliance group. In that capacity, he is one of the leaders of the 15(c) board consulting practice, which enables independent directors at US mutual funds to fulfill their obligations under the Investment Company Act of 1940. He is responsible for the design, content and presentation of 15(c) reports, as well as engagements involving fund expense, distribution and business issues. Prior to joining Broadridge in January 2018, Ellenbogen was head of regulatory solutions at Morningstar, where he led the 15(c) practice before its acquisition by Broadridge. Ellenbogen developed Morningstar’s clean share methodology, co-authored Morningstar’s qualified plan expense and performance benchmarks, and helped build the firm’s data, software and analytical best-interest offerings related to the DOL fiduciary rule. Previously, Ellenbogen was a senior investment consultant supporting Morningstar’s managed account program and its funds-of-funds business. Prior to that, Ellenbogen was a senior product manager at Calamos Investments, and worked in a variety of product and communications roles at Kemper Funds (now Deutsche Asset Management). He began his career as a mutual fund analyst at Morningstar, covering domestic equity and taxable fixed income funds. Ellenbogen has a BA from the University of Chicago, and Ph.D. from Duke University, both in political science.