San Francisco
Shannon Horton
Partner and Head of West Coast
Prior to joining Optima Partners, Ms. Horton served as Deputy Chief Compliance Officer for KKR Credit Advisors, where she supported the Credit, Business Development Company (BDC) and Closed-end Fund businesses and contributed significantly in supporting KKR's hedge fund, fund of funds and private equity businesses. Ms. Horton oversaw the launch of KKR Credit's Closed-end Fund business and served as CCO of KKR Income Opportunities Fund and lead compliance efforts related to KKR Credit's BDC business expansion. Ms. Horton was responsible for meaningfully evolving KKR Credit's 206(4)-7 compliance program when she started in 2011 and oversaw the establishment of compliance program for various KKR advisory businesses and '40 Act vehicles.
At Optima, Shannon oversees the firm’s West Coast offices across San Francisco, Los Angeles, and San Diego, while advising SEC-registered private fund investment advisers operating across the alternative asset management spectrum, as well as clients managing '40 Act and BDC vehicles. She serves as the lead relationship manager for several of the firm’s largest global clients, including premier Private Credit and Private Equity asset managers. Shannon’s expertise includes developing robust 206(4)-7 and 38(a)-1 compliance infrastructures—conducting initial assessments, comprehensive gap analyses, and designing and implementing testing, monitoring, and reporting frameworks. She also leads mock SEC audits for investment advisers and registered investment companies and oversees the administration of global thematic reviews for multijurisdictional clients.
Education
Bachelor of Arts, Colgate University, 1998