People

Ivan Barretto

Ivan Barretto

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Ivan
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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.

Professional Experience


Academic History

  • 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.