matt

Matt

Chief Compliance Officer

Matt joined the Richmond Brothers team in 2018, having gained 10 years of experience in compliance working with hundreds of Registered Investment Advisers and consulting with chief compliance officers all over the country. Matt helps to maintain Richmond Brothers’ steady course of regulatory compliance to ensure the firm flourishes.

Born in the Midwest and raised in Missouri, Matt earned his bachelor’s in fine arts from the University of Missouri. After a stint in Europe teaching English, Matt relocated to New York City. He attended New York University, received his paralegal certificate and entered the legal industry, focusing on criminal defense including white-collar crimes and RICO fraud.

During his nine years in a leading compliance consulting firm in Los Angeles, Matt worked with state securities divisions and the Securities and Exchange Commission, acquiring a wide knowledge base of the rules and regulations affecting wealth management firms.

Based in sunny California, Matt enjoys running and is quite the “foodie.” A true wanderlust, he loves to chase good weather wherever it goes! Maui has been one of his favorite locations to visit to date and he’s looking forward to his next destination.