Craft Impact: A Growth & Communications Agency

Provides clients overall strategic direction in aligning communications, content marketing and sales efforts. This includes technical training of CRM and CMS platforms. As a HubSpot Partner Agency, we often help companies maximize HubSpot’s tools to drive growth.

Marketing & Communications Strategist

Vantage Impact

Develops and implements communications and marketing plans for financial advisor clients making a transition to a new firm, acquiring a practice, or launching a new RIA/independent practice.

Provides independent practices/RIA clients overall strategic direction in aligning communications, content marketing and sales efforts. This includes technical training of CRM and CMS platforms. As a HubSpot Partner Agency, we often help companies maximize HubSpot’s tools to drive growth.

Growth Strategist

St. Paul School

After developing and implementing our school's distance learning plan for grades Preschool-8th during COVID-19 in Spring 2020, I spearheaded our Fall 2020 reopening plan and communications strategy concurrently offering in-person and virtual learning for K-8 students, 5 days a week.

Throughout my three year tenure at St. Paul, I built and implemented a strategic communications and marketing framework, evaluated teachers, conducted the interviewing and hiring process for countless staff members, led the accreditation continuous improvement plan process, wrote the applications and successfully achieved Ohio STEAM School Status and Blue Ribbon School Status for 2020, implemented a schoolwide professional development plan focused on STEAM and project-based learning, opened a new preschool growing from 0 to 74 registered students in the 21-22 school year, handled all disciplinary referrals, revised and implemented our school safety plan, directed our intervention team, launched our new website, and managed/handled the inevitable conflict that happens in a school building on a day by day basis.

School Administrator

St. Matthew School

At St. Matthew, I rebuilt the communications structure and framework from the ground up including a strategic marketing plan, directed the adoption of standards-based grading, trained faculty members how to transform instructional and assessment practices. I created online learning videos for teachers adhering to universal design principles that were used district-wide. 

After leading an extensive self-study and data analysis process involving students, staff members, and parents, I guided an accreditation committee in creating a comprehensive 4 year professional development plan to achieve academic and cultural goals. While keeping these goals in mind, I bolstered our intervention program and added essential technology in managing our $500k auxiliary budget and federal program monies. 

During my time at St. Matthew, we increased access to technology from a classroom of desktop computers to 1:1 Google Chromebook access for all K-8 students. We expanded our network infrastructure and provided extensive Google Classroom PD so that our students can fully utilize the technology. 

I digitized parent communication with the implementation of a new Student Information System and trained both parents and faculty how to use its features. 

I expanded my managerial/leadership expertise in establishing the cleaning criteria for our 50,000 sq. ft. building and managed the janitorial and maintenance personnel.

St. Rose of Lima

As the lead STEM teacher at St. Rose of Lima in Denver, CO, an urban setting with a 100% Free/Reduced Lunch student population, I engaged middle school students with authentic project-based learning experiences. I collaborated with fellow STEM teachers and non-profit organizations to design multi-disciplinary units of study culminating with real-world products. 

I spearheaded school-wide change as a key member of our school leadership team. We initiated the adoption of the Expeditionary Learning model, implementing data-driven academic and cultural goals that resulted in significant achievement gains over a 4 year period. 

A school of limited resources, I updated all things technology: administering student laptops, implementing Google Apps for Education for all students and staff members, leading staff trainings for best Smartboard practices, filming, narrating, and producing multiple school promotional videos, designing a new school website, and directing all social media activities.

STEM Teacher Leader

Presentation of Our Lady School

5th Grade Teacher

Craft Impact partners with clients via marketing & sales services to help generate revenue in a predictable, sustainable way. 

We do this primarily for three types of companies ⬇️

▪Financial Advisory Firms (RIAs, independent practices, & TAMPs)
▪Professional Services (service companies & executives)
▪Product Manufacturers (businesses ready to scale & sales teams)

As a Growth Strategist, I help companies strategically align their marketing and sales efforts with revenue goals - unifying communications, content marketing plans, sales processes, and the use of CRM and CMS technology platforms.

Faustin Weber

Brightstar Law Group

Having come from a family of entrepreneurs, I am passionate about working with entrepreneurial investment advisers, which is why I founded my law firm, Richard L.Chen PLLC, which provides practical legal guidance to investment managers, financial planners, hedge fund and private equity fund sponsors, broker-dealers, and other financial institutions.  I believe that investment advisers are best served by attorneys who not only help manage legal and compliance risks, but also truly listen to clients’ needs, proactively solve problems to meet clients’ goals, and save them time and money.  I provide advice with respect to business structuring, business contracts, compliance program development and implementation, employment law matters, mergers and acquisitions, operational due diligence, securities law compliance, and succession planning.    

I also happen to be blind, which has fueled my passion to help others in need, whether through motivational speaking or mentoring of others with disabilities, or serving on the board of a not-for-profit organization that provides free legal services to the underserved in New York City.

Managing Partner

Richard L. Chen PLLC

Veris Wealth Partners, LLC

General Counsel and Chief Compliance Officer

MarketCounsel

•	Served as lead counsel for investment advisory firms and other companies serving the advisory industry
•	Counseled clients on conducting compliance risk assessments and annual compliance reviews
•	Counseled advisers on the adoption, implementation, and testing of compliance policies and procedures
•	Counseled investment advisers on matters including, among others, the identification and mitigation of conflicts of interest, personal trading issues, data protection, suitability of recommendations, portfolio management and trading, valuation of investments, client complaints, vendor due diligence, solicitor arrangements, social media use, custody, business continuity, and succession planning
•	Provided compliance training and education for employees of firm clients
•	Counseled clients on cybersecurity preparedness, data breaches, and notification requirements
•	Drafted and review regulatory filings, including, among others, Forms ADV and 13H
•	Reviewed clients’ marketing materials and investor communications
•	Kept apprised of regulatory developments and prepare regulatory updates for clients
•	Negotiated and drafted client agreements for advisory firms including financial planning, investment management, and investment consulting agreements
•	Negotiated and drafted other commercial agreements for clients, including, among others, software as service agreements, TAMP agreements, and commercial leases
•	Drafted employment agreements and other executive compensation documents for clients
•	Advised clients on business transactions, including asset purchases and mergers
•	Drafted asset purchase agreements and related documents for acquisitions
•	Guided clients through the SEC examination process, including assisting with document production requests and drafting deficiency letter responses
•	Advised clients involved in SEC enforcement actions

Regulatory Counsel

Independent Consultant

•	Counseled investment management firm clients on investment advisory, broker-dealer, and CFTC/NFA regulatory matters
•	Advised advisory firm clients on the adoption and implementation of compliance programs, including the adoption of practical compliance solutions to address the needs of each client
•	Advised clients with respect to the negotiation and drafting of hedge and private equity fund offering documents

Counsel

The Hedge Fund Law Report

•	Managed the editorial staff of a preeminent hedge fund publication providing in-depth practice advice, actionable intelligence, and market color for legal, compliance, and operations professionals at private fund firms
•	Grew subscription revenues by nearly 20% through marketing and editorial efforts during my tenure
•	Identified concepts for original articles that speak to such firms’ most pressing legal and compliance challenges (e.g., Form PF, FATCA, AIFMD, and the JOBS Act)  
•	Developed relationships with a broad network of leading hedge fund and private equity fund managers, service providers, and other professionals to grow subscriptions and gather critical industry intelligence

Editor In Chief

Arnold & Porter Kaye Scholer LLP

•	Advised private fund managers on a wide range of investment advisory matters including insider trading (e.g., information barriers and wall crossings), private placements, custody, valuation, pay-to-play regulations, best execution, order allocation, trade errors, soft dollar arrangements, marketing issues, and c
•	Counseled private fund managers on the development, implementation, and testing of compliance programs
•	Counseled clients with respect to compliance risk assessments and annual compliance reviews
•	Drafted a wide range of compliance policies and other compliance documents
•	Negotiated and drafted offering documents for private funds employing various investment strategies, including event-driven, healthcare, and other equity-related strategies
•	Negotiated side letters with institutional investors
•	Negotiated and drafted investment management agreements for institutional investors 
•	Negotiated and drafted fund administration, technology, and other service provider agreements for fund managers
•	Negotiated and drafted agreements for secondary market transactions involving fund interests
•	Reviewed pitchbooks, due diligence questionnaires, and other marketing materials for private fund firms 
•	Advised clients on employment law and ERISA issues

Schulte Roth & Zabel LLP

•	Advised private fund managers on regulatory matters including, among others, insider trading, short-selling, market manipulation, style drift, valuation, private placements, suitability, custody, marketing, ERISA (plan assets), proxy voting, privacy, business continuity, best execution, order allocation, trade errors, and soft dollar use
•	Counseled private fund managers on the development, implementation, and testing of their compliance programs
•	Counseled investment advisers with respect to risk assessments and annual compliance reviews
•	Drafted a wide range of compliance policies and other documents
•	Negotiated and drafted offering documents (private placement memoranda, limited partnership agreements, subscription agreements, and investment management agreements) for domestic and international hedge funds and private equity funds employing a wide range of investment strategies, including equity-related, credit-related, special situations, and activist strategies 
•	Advised private funds on negotiating fund administration agreements, prime brokerage agreements, placement agent agreements, consulting agreements, and expert network agreements
•	Negotiated and drafted agreements for separately managed account arrangements 
•	Advised private fund managers on structuring ownership, governance, and compensation arrangements for firm principals and employees 
•	Advised private fund managers on SEC examinations and investigations
•	Conducted in-house training on various compliance topics
•	Advised fund sponsors on strategic acquisitions and liquidations
•	Co-wrote a PLI treatise addressing legal, operational, and compliance issues impacting private equity fund firms

Associate

K&L Gates

•	Advised private fund and mutual fund managers on various regulatory matters including insider trading, marketing issues, document retention, order allocation, market timing, late trading, and trade errors 
•	Drafted compliance manuals for investment advisers and written supervisory procedures for broker-dealers 
•	Conducted compliance audits on behalf of fund managers and broker-dealers
•	Represented investment advisers and broker-dealers in SEC and FINRA examinations and investigations, including drafting deficiency letter responses and Wells submissions

The New York Times Company

•	Advised executives on securities, corporate governance, and investor relations matters

I am passionate about serving as a trusted advisor to investment advisers and other entrepreneurs, which is why I founded my law firm, Brightstar Law Group (www.brightstarlawgroup.com),which helps wealth managers, financial planners, hedge fund and private equity fund sponsors, broker-dealers, fin-tech companies, start-ups, and other companies build strong businesses and avoid legal landmines.  Having come from a family of entrepreneurs, I believe that entrepreneurs are best served by attorneys who not only help manage legal and compliance risks, but also provide business-oriented solutions to solve problems in a timely and responsive manner.  

I provide advice relating to registration and compliance matters for investment advisers, SEC examinations and mock audits, private fund formation (including hedge, venture capital, and private equity funds), formation and structuring for companies, commercial contract reviews, employment law matters, and mergers and acquisitions.  

I also happen to be blind, which has fueled my passion to help others in need, whether through motivational speaking or mentoring of others with disabilities, or serving on the board of a not-for-profit organization that provides free legal services to the under-served in New York City. 

I am also an active public speaker open to engagements where I can provide motivation and practical insight to audiences. I speak on topics such as lessons learned as a blind professional, how to succeed as an entrepreneur,  an financial industry regulation. My recent speaking engagements include the InvestmentNews RIA Summit, the National Society of Compliance Professionals National Conference, and the Practicing Law Institute's Fundamentals of Investment Adviser Regulation program.
  
Contact me at rich@brightstarlawgroup.com and connect with me on LinkedIn to learn how I can help you.

Any postings through LinkedIn are provided solely for educational purposes and do not constitute legal advice, which will be provided only through the signing of an engagement letter used to establish a formal attorney-client relationship.

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The Battle

Faustin Weber

Richard Chen

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