Ivan Barretto
Ivan Barretto is the Founder and Managing Partner of RIA Compliance Concepts, a boutique consulting firm offering affordable solutions to registered investment advisory firms. He 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. Ivan leads a team of hand-selected industry experts in providing ongoing compliance services for both state-registered and SEC-registered investment advisory firms. He brings a regulator's perspective in advising clients, providing a unique insight into different firms' compliance programs. Ivan prides himself on providing cost-effective compliance solutions to valued customers, adhering to a high-touch approach with every individual and business he's working with.
Ivan Barretto Professional Experience / Academic History
Professional Experience
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Founder, Managing Director
Academic History
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Master of Public Administration
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Bachelor of Business Administration, Management
Ivan was introduced to RIA regulatory compliance when he was a Financial Examiner with the Texas State Securities Board Inspection and Compliance Division.
During my tenure at the Texas State Securities Board, he conducted routine and for-cause examinations for registered investment advisory firms across the State of Texas.
He also assisted in new RIA registrations, and on-going compliance support for numerous state and SEC-registered investment advisory firms nationwide.
He also offered guidance to clients seeking help with registrations with the National Future Association and state insurance regulatory agencies.
He also worked as Director of Continuing Education at the National Alliance for Insurance Education and Research.
At AmeriCorps, he co-authored the Individual Development Account Grant (IDA) that allowed participants to develop goal-centered savings accounts targeted for first-time homeownership.