Richard Chen


President

Richard L. Chen PLLC


Richard Chen is the President of the law firm of Richard L. Chen PLLC, a certified disability-owned enterprise that serves as a trusted adviser to investment advisory firms (including wealth managers and private fund sponsors), broker-dealers, and other financial institutions. Richard handles a wide array of compliance-related matters for clients including registration of investment advisers and their personnel; compliance program development, implementation, testing, and reviews; risk assessments; day-to-day compliance matters; regulatory filings; operational due diligence; mock audits; and representation in regulatory examinations. Richard also advises his clients on a broad range of legal matters including structuring and organization of their businesses, review and drafting of client agreements and commercial contracts, business transactions (including mergers and acquisitions and joint ventures), employment and compensation-related matters, formation of hedge and private equity funds, and succession planning. Before launching his own law firm practice, Richard spent much of his career at several renowned law firms including Arnold & Porter, Schulte Roth & Zabel, K&L Gates, and Simpson Thacher & Bartlett after his graduation from Harvard Law School in 1998.


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