Aldrich Wealth is pleased to welcome Luan Dollens as the Director of Compliance. Her career spans more than 25 years in the financial services industry where she held operational and compliance responsibilities for both small and large broker-dealers and registered investment advisors (RIAs). As the Director of Compliance, Dollens works alongside Aldrich Wealth’s leadership team to direct the compliance program to protect Aldrich Wealth clients, employees, and the firm as a whole.
“Luan brings a breadth of experience that is invaluable to the firm. Her compliance expertise and deep understanding of RIA operations allow her to recommend best practices to improve compliance related processes. Also, Luan’s collaborative nature and ability to build trust is a great match for our core values,” said Shirley McMillan, Chief Operating Officer, Aldrich Wealth.
Before joining Aldrich Wealth, Dollens was a Senior Compliance Officer for a dual registered broker dealer and registered investment advisor with multiple independent offices and over 575 registered representatives and advisors. She is a Certified Plan Fiduciary Advisor (CPFA) and is currently working towards her Investment Advisors Certified Compliance Professional (IACCP) accreditation. Dollens earned her Bachelor of Science in Business Administration with a focus in Finance and Economics from Portland State University.
“I was drawn to Aldrich because I had heard about the wonderful and energetic people who work here,” said Dollens. “As a compliance professional, I appreciate that Aldrich Wealth advisors are conflict-free fiduciaries who put their clients’ interests first. I look forward to building on the already strong culture of compliance that exists here and taking those compliance responsibilities off my team members’ plates so they can focus on the areas of the business where they are most effective.”
Outside of work, Dollens is a current board member for the Greater Portland Compliance Association (GPCA), a non-profit comprised of securities compliance professionals who share ideas and best practices. Additionally, she enjoys gardening, hiking, traveling with her family, and visiting the countless wineries Oregon has to offer.
About Aldrich Wealth
Aldrich Wealth LP is a fee-based Registered Investment Advisory firm that provides a comprehensive and customized financial services suite to individuals, businesses, and trusts. These integrated services offer clients the opportunity to grow and preserve their personal and business wealth. Aldrich Wealth’s services weave together goal-based wealth management, financial and estate planning, and tax planning and preparation. Aldrich Wealth’s Corporate Retirement Plans services include investment management, recordkeeping consulting, fiduciary governance services, and employee education services. Aldrich Wealth is part of the Aldrich Group of Companies, including Top 100 Accounting Firm, Aldrich CPAs + Advisors, Aldrich Benefits, Aldrich Retirement Services, Aldrich Technology, and Aldrich Capital.