Richard W. Email & Phone Number

New York, Ny, Us

Snowden Lane Partners is an independent, advisor-owned, and nationally branded wealth management firm that provides wealth and corporate advisory services to individuals, families, and institutions. Responsible for all legal, regulatory, and compliance matters of the company, which include an SEC-registered investment adviser and a broker-dealer. Snowden Lane has 16 US-based offices and operates broker-dealer and advisory businesses that together oversee $12bn in client assets,

Comprehensive securities regulatory practice, with a particular focus on broker-dealer and investment adviser matters, as well as general corporate formation and governance, private investment fund (e.g. hedge fund) creation and structuring, and investment management; private placements of securities; and preparation and implementation of employment agreements and equity compensation plans.

Responsible for all legal, regulatory and compliance matters of the company, which included two SEC registered broker-dealers. Played a significant role as principal advisor to the CEO and Board of Directors and counseled executives regarding strategic business development, corporate governance, HR, contractor and vendor agreements, and SEC, FINRA and CHX regulatory issues. Supported the trading desk and operations on a daily basis as well as risk management related thereto. Provided legal support to UK operations, an FSA registered multi-lateral trade facility. -- Primary assets sold to Portware (Factset) in 2012.

New York, Ny, Us

Responsible for all legal affairs of the Company. Principal adviser to the CEO and Board of Directors; counseled executives regarding strategic business development, legal, finance, human resources, contractor and vendor agreements, intellectual property and SEC/FINRA regulatory issues. Supported the trading desk and operations on a daily basis, including restricted securities transactions and risk management related thereto. Oversaw all matters involving financings, capitalization, and related corporate transactions. As CCO, ensured compliance with SEC and FINRA regulations and guidelines, including oversight of branch offices. As Secretary, administered and documented meetings and other actions of the Board, committees and shareholders. Also, acted as corporate legal adviser to majority owned restricted securities valuation business, Pluris Valuation Advisors, LLC.

Poland, In, Us

Responsible for all legal affairs of the Company, founded by former leadership of NASDAQ, including David Weild IV. Advised CEO and Board of Directors regarding strategic business development, legal, finance, human resources, contractor and vendor agreements, intellectual property and SEC/NASD regulatory issues. Chief Compliance Officer for wholly owned broker-dealer.

B.A., Political Economy

Jd, Civil Law

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