Richard Sarhaddi
General Counsel and Chief Compliance Officer
Rich Sarhaddi is the General Counsel and Chief Compliance Officer at Aspen and is responsible for building Aspen’s compliance function, which will support Aspen’s RIA partners, as well handling our legal matters.
Rich has spent the majority of his career supporting investment advisers from both a legal and compliance standpoint, most notably at Charles Schwab & Co., Inc., where he was a member of Schwab’s Advisor Services legal team and subsequently at The Vanguard Group, Inc., where he served as Chief Compliance Officer of Vanguard Personalized Indexing Management, LLC and led the compliance team covering Vanguard’s $200+ billion U.S. direct investor advice business. Rich is also a past co-chair of the Investment Adviser Association’s Digital Adviser Committee.
Rich received his Bachelor of Arts in history from Marquette University, where he was a member of the History Honors Society, and his Juris Doctorate from Chicago-Kent College of Law.
After several years on the East coast, Rich now resides with his wife and children in Lake Forest, IL. In his free time, Rich loves to play tennis, read, and coach his twins’ sports.
