Ivan Barretto, Founder and Managing Partner
I was introduced to RIA regulatory compliance when I accepted a position as a Financial Examiner with the Texas State Securities Board Inspection and Compliance Division in 2006. During my tenure at the Texas State Securities Board, I conducted routine and for-cause examinations for registered investment advisory firms across the state of Texas. In 201
1, my wife and I welcomed a new addition to our family, our daughter Noelle. Although I enjoyed my time as a Financial Examiner, my travel schedule began to take a toll on my family, so in 2013 I decided to take a consultant position for a local compliance consulting firm. As a consultant, I increased my exposure to all aspects of the RIA compliance. I assisted in new RIA registrations, and on-going compliance support for numerous state and SEC-registered investment advisory firms nationwide. I also offered guidance to clients seeking help with registrations with the National Future Association and state insurance regulatory agencies. After some soul searching and with the support of my friends and family, I decided to embrace my entrepreneurial spirit and launched RIA Compliance Concepts. I founded RIA Compliance Concepts with the sole purpose of helping customers navigate through the ever-changing RIA regulatory compliance environment while offering effective and cost-efficient compliance solutions to registered investment advisory firms. Megan Campbell, Managing Partner
My career in the financial services industry started while I was attending Texas State University. As I was studying finance, I worked part-time at for a small BD/RIA branch office providing office and client support services. I accepted a position as an examiner in the Registration Division of the Texas State Securities Board in 2006, around the same time Ivan joined the Securities Board. It was during this time of learning the regulatory ropes, myself in registration and he in compliance, that we became good friends. As a registration examiner, I reviewed and approved scores of investment adviser and broker-dealer applications for firms seeking registration in Texas. While at the Securities Board, I saw my position, not as one in which I aimed to find as many deficiencies as possible but one in which I could help new firms start their RIA and BD businesses in compliance with the law. After nearly nine years as a regulator and ready for a new challenge both personally and professionally, I joined Ivan at a local compliance consulting firm. Becoming a registration and compliance consultant allowed me to substantially increase my knowledge regarding the RIA registration process across the various states and with the SEC. As time went by, I began managing the RIA registration process within the consulting firm and started providing on-going compliance support for our clients. After parting ways for a short period of time, I received a call from Ivan to discuss partnering up to start RIA Compliance Concepts. Coming from a family bitten by the entrepreneurial bug coupled with the idea of helping RIAs start and maintain their businesses, it was difficult to pass up the opportunity. With that and the support of my husband and our two boys, I look forward to helping our customers have peace of mind as they go through the registration process and quell any compliance concerns that may arise as their business grows.
