Director of Operations and Chief Compliance Officer
Richard Rayles
IACCP® · Series 65 licensed
Background
About Richard
Richard runs the parts of the firm clients are not supposed to have to think about: account transfers, custodial paperwork, reporting, and the operational detail that determines whether a plan gets implemented cleanly or drags on for months.
As Chief Compliance Officer he also owns the firm's regulatory program, maintaining the policies, records and disclosures that an SEC-registered adviser is obligated to keep, and making sure what the firm says publicly matches what it actually does.
It is unglamorous work, and it is the reason the advice side of the house can stay focused on advice.
Talk it through with someone who has seen it before.
Bring the situation you are actually facing. The first consultation is free.
Or call (941) 706-4151