Rich has worked with many of Winthrop Wealth’s clients in various capacities for over 20 years. Ultimately, Rich wants to provide a consistent client experience and continues to work with our team on a large cross section of specific client cases. “I try to bring another perspective. Most often, simple is better. But I am detail oriented also. I like to be involved with helping others and acting as a resource.”

 

Rich values compliance and ethical decision making as foundations to help protect business and reputation. As Chief Compliance Officer, Rich leads our Compliance Program, seeking to ensure we implement best practices in an increasingly complex regulatory environment. He is responsible for reviewing account management and business practices, advertising, and communications as well as providing training and support to our other advisors. He also continues to work directly with many of our clients to provide advice and service as an advisory representative of Winthrop Wealth.

 

Rich maintains the INVESTMENT ADVISER CERTIFIED COMPLIANCE PROFESSIONAL® (IACCP®) designation. Co-sponsored by NRS, a COMPLY company, and the Investment Adviser Association (IAA), IACCP® is a continuing education program granting the designation of Investment Adviser Certified Compliance Professional (IACCP) to individuals who completed the instructor-led program of study, passed a certifying examination, completed the ethics assessment, and met the two-year work experience requirement to become an IACCP Designee. In addition, he maintains the Professional Plan Consultant® (PPC®) designation from fi360, Inc., with focused training on plan services and ERISA requirements for employer-sponsored retirement plans.

 

Rich originally hails from Boston but grew up and lived for many years in the Greater Hartford area. He pursues interests in history, local and otherwise, genealogy, music and guitar, and does some running.