Bradley Swenson
About Bradley Swenson
Bradley J. Swenson (born 1972) serves as Chief Compliance Officer (CCO) of Clough Global Dividend & Income Fund (GLV) and has held that officer role since 2023. He is concurrently President and Chief Compliance Officer of Paralel Distributors LLC (since May 2022) and CCO of Paralel Technologies LLC (since January 2023); prior roles include President, ALPS Fund Services, Inc. (2019–2021), Chief Operating Officer, ALPS (2015–2019), and President, TruePeak Consulting, LLC (2021–2022) . He previously served GLV as President/Principal Executive Officer, signing fund filings in 2019–2021 . As CCO, he operates within the Board’s compliance and risk oversight framework, providing regular reports on service provider controls, policy changes, and material compliance matters to the Trustees .
Past Roles
| Organization | Role | Years | Strategic impact / responsibilities | Evidence |
|---|---|---|---|---|
| Clough Global Dividend & Income Fund (GLV) | President / Principal Executive Officer | 2019–2021 | Principal executive officer; signed N‑CSR and certifications; led disclosure controls and ICFR attestations | |
| Clough Global Dividend & Income Fund (GLV) | Chief Compliance Officer | 2023–present | Fund CCO under Paralel; officer role focused on compliance oversight | |
| GLV Board Risk Oversight Framework | CCO reporting into Board | Ongoing | Provides quarterly written reports to Board on service providers, policy changes, and material compliance matters |
External Roles
| Organization | Role | Years | Notes | Evidence |
|---|---|---|---|---|
| Paralel Distributors LLC | President & Chief Compliance Officer | May 2022–present | Affiliate of the Fund’s administrator | |
| Paralel Technologies LLC | Chief Compliance Officer | Jan 2023–present | Fund administrator; GLV officers are Paralel employees | |
| TruePeak Consulting, LLC | President | 2021–2022 | Consulting | |
| ALPS Fund Services, Inc. | President | 2019–2021 | Fund administration | |
| ALPS | Chief Operating Officer | 2015–2019 | Fund administration operations |
Fixed Compensation
Officers employed by Paralel receive no compensation from GLV. Any compensation for Mr. Swenson is paid by Paralel and is not disclosed in GLV filings.
| Item | GLV (Fund-level) | Evidence |
|---|---|---|
| Base salary | $0 (paid by Paralel, not by Fund) | |
| Target/actual cash bonus | $0 (no Fund-paid cash comp) | |
| Perquisites (Fund-paid) | None disclosed |
Performance Compensation
No GLV-paid equity or performance-based compensation applies to Paralel-employed officers.
| Instrument | Grant/vesting detail | Payout linkage | Fund-paid? | Evidence |
|---|---|---|---|---|
| RSUs/PSUs | None disclosed for Fund officers | N/A | No | |
| Stock options | None disclosed for Fund officers | N/A | No | |
| Cash incentive | None (Fund does not pay officers) | N/A | No |
Equity Ownership & Alignment
| As-of date / Source | Title | Beneficial ownership (shares) | Notes |
|---|---|---|---|
| 2019-06-04 Form 3 | President | 0 shares | Initial Section 16 statement: “No securities are beneficially owned.” |
| 2023-04-24 Form 3 | Chief Compliance Officer | 0 shares | Initial Section 16 statement upon Paralel transition: “No securities are beneficially owned.” |
| 2023-04-19 8-K (Item 5.02) | Officer (Paralel employee) | 0 shares (Fund states “no officer employed by Paralel owns any shares of the Fund.”) | Applies to all Paralel-employed officers including the CCO |
Additional alignment notes:
- GLV’s 2025 proxy lists security ownership for Trustees and certain executive officers (PEO/PFO), but does not list Mr. Swenson individually; Fund-level disclosure confirms Paralel-employed officers (including CCO) are not Fund shareholders .
Employment Terms
| Term | Detail | Evidence |
|---|---|---|
| Appointment effective date | April 17, 2023 (appointed CCO in conjunction with Paralel assuming administration) | |
| Employer of record | Paralel Technologies LLC/Paralel Distributors LLC (not GLV) | |
| Compensation payer | Paralel; GLV pays no officer compensation | |
| Severance / change-of-control | Not disclosed in GLV filings (officers are employed by Paralel) | |
| Clawback / ownership guidelines | Not disclosed for Fund officers | |
| Non-compete / non-solicit | Not disclosed | — |
Investment Implications
- Compensation alignment: Mr. Swenson receives no GLV-paid cash or equity, and Fund filings state Paralel-employed officers (including the CCO) own no GLV shares, limiting direct share-based alignment or insider-selling pressure at the Fund level .
- Role-driven risk: As CCO, his impact centers on compliance and risk management rather than portfolio performance; the Board’s risk framework relies on the CCO’s quarterly reports on service providers and material compliance matters .
- Retention and incentives: Because officers are employees of Paralel and compensated by Paralel (not the Fund), retention and incentive structures reside with the administrator rather than GLV; any changes in Paralel’s leadership or policies could influence continuity and oversight for the Funds .
Bottom line: For trading signals or pay-for-performance analysis, there is no Fund-level equity or cash incentive to monitor for Mr. Swenson, and Section 16 records show no GLV share ownership at appointment points. His value-add should be assessed via the quality of compliance oversight and continuity under the Paralel administration model rather than through traditional executive compensation levers .