This episode of Ivory GC features Richard Sarhaddi, General Counsel and Chief Compliance Officer at Aspen Standard Wealth, a platform investing in independent registered investment advisory firms. Richard brings nearly 20 years of experience across regulatory, legal, and compliance leadership roles, including at Vanguard, Charles Schwab, and OptionsXpress.
In this conversation, Richard shares how he's building a legal and compliance framework from scratch to support a fast-scaling private equity-backed platform. He reflects on lessons learned from building Vanguard’s personalized indexing compliance function, offers insights into onboarding RIAs, and discusses navigating marketing regulations and AI in legal workflows. He also opens up about his career journey—from launching a hedge fund to leading legal across multiple sectors—and the leadership principles that continue to shape his approach.

We hope you enjoyed this episode! :)
- The Ivory GC team

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Ivory GC Podcast is your go‑to channel for in‑depth, expert conversations on balancing legal risk and business innovation. Every week, we bring you candid interviews with general counsel, corporate legal advisors, and business leaders navigating regulatory complexity while driving transformative growth. Ideal for in‑house legal teams, executives, and risk managers, our content delivers strategic insights, practical tips, and real-world stories to help you lead confidently in an ever‑changing legal landscape.