ABOUT US
Ivan Barretto
Founder and Managing Partner
I was introduced to RIA regulatory compliance when I accepted a position as a Financial Examiner with the Texas State Securities Board Inspection and Compliance Division in 2006. During my tenure at the Texas State Securities Board, I conducted routine and for-cause examinations for registered investment advisory firms across the state of Texas.
In 2011, my wife and I welcomed a new addition to our family, our daughter Noelle. Although I enjoyed my time as a Financial Examiner, my travel schedule began to take a toll on my family, so in 2013 I decided to take a consultant position for a local compliance consulting firm. As a consultant, I increased my exposure to all aspects of RIA compliance. I assisted in new RIA registrations, and on-going compliance support for numerous state and SEC-registered investment advisory firms nationwide. I also offered guidance to clients seeking help with registrations with the National Future Association and state insurance regulatory agencies.
After some soul searching and with the support of my friends and family, I decided to embrace my entrepreneurial spirit and launched RIA Compliance Concepts. I 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.
Meredith Swedlund
Director of Registration
In 2015, I graduated with a degree in curriculum and instruction from Texas State University. After a few years in the education industry, I decided to switch gears. I started working with Ivan as a Regulatory Compliance Analyst for an insurance education and research company two years ago. That’s when I was first introduced to the compliance industry. I found that I was able to directly apply the organization and communication skills I acquired through my prior work as a teacher to the compliance field. Ivan showed me the ropes of the industry, and when he started his own business and reached out to me, I was excited about this new challenge.
I look forward to continuing my path in compliance and helping our clients with their compliance needs. I love learning new things, and when I’m not in the office behind a computer, I enjoy traveling as much as possible and teaching yoga.
Teresa Douberly
Senior Consultant
In 1994 I entered the Financial Services industry as an assistant to a team of advisors at Prudential Securities in Jacksonville, FL. After six months, I took and passed the FINRA Series 7 so that I could become a Registered Client Service Associate. In 1996 my family moved to the South Florida area, where I became employed at a small boutique firm in the Boca Raton area. After a few years there, I decided to make a move to Morgan Stanley and soon started obtaining my FINRA management licenses along with my Florida Insurance license.
In early 2005 I left Morgan Stanley and aimed my career sites to Compliance and Management. I took a position as an OSJ which then led to a position as Compliance Director. I have held positions such as Assistant Operations Manager and Senior Firm Compliance Consultant at MetLife.
I then became a Branch Manager for a medium size broker-dealer firm in Boca Raton. After a few years in management, I began to realize that my true passion was in the compliance area. When I left this position, I decided to start taking steps back into compliance and was hired at a small firm as their Compliance Manager.
While there, I realized that my true potential was not being realized, so I reached out to Ivan to see if he needed another consultant. My experience and knowledge in the Financial Services industry in all aspects have led to this point, and my eagerness to keep learning and studying the trends in the industry will provide me with the ability to help RIAs understand and utilize all aspects to stay within the regulatory framework.
When not working, my husband and I enjoy bass fishing and time at the lake. In addition, I like to work in the yard and enjoy the outdoors.
Andrew Burgess
Senior Consultant
I am Andrew Burgess, a graduate of Illinois State University with a degree in business. I began my career in the wealth management space as an advisor, quickly discovering my passion for operations and compliance. Over the next 12 years, I gained extensive experience working for advisors, wirehouses, and independent broker-dealer firms. This journey allowed me to hone my skills in compliance, advisor support, and operational strategy.
With a deep understanding of the challenges advisors face, I decided to take the leap and launch my own operations consulting firm, AdvisorOps360. My firm specializes in helping advisors optimize and protect their businesses on the back end, providing them with the support they need to thrive in a complex industry. Whether it’s managing transitions, offering fractional COO services, or ensuring compliance, my goal is to empower advisors to focus on what they do best—serving their clients.
I currently reside in Rockford, IL, with my dog, Bailey. Outside of work, I am an avid golfer and sports fan. My commitment to continuous learning and growth has driven me to hold my Series 7, 66, and 24 licenses through FINRA, and I am passionate about applying my expertise to make a difference in the lives of financial professionals.
Relean Schmiedeknecht
Compliance Associate
I am a dedicated professional with 29 years of experience in customer service. With a solid background in customer engagement and a proactive approach to problem-solving, I have developed into a well-equipped professional who can contribute effectively to any customer service or compliance-related role.
Currently, I serve as a Compliance Associate at RIA Compliance Concepts, where I support the team with the firm's administrative duties. My role involves handling various tasks to streamline operations and enhance customer support with accuracy and efficiency.
I was a resident of Flint, Michigan, until 1995, when my family relocated to South Florida. Being a mother of two boys, I have been instilled with a strong sense of responsibility and commitment to all my endeavors.