Richard has over thirty years of financial industry and capital markets experience as an attorney, adviser and consultant and has extensive experience in the areas of corporate governance, compliance, securities, derivatives, structured products and hedge funds. He was formerly a Branch Chief at the SEC in Washington, DC, founded and co-managed an investment adviser and broker-dealer and has held senior sales roles at major sell-side institutions. He was previously a member of the Board, General Counsel and Chief Risk Officer of a $5B Boston-based RIA. Richard has an LL.M. (Masters Degree) in Taxation from Georgetown University Law Center, a Law degree (J.D.) from Rutgers University School o