Senior Advisor, Gateway Investments | Partner, Gateway Group


Rick’s role as Senior Advisor at Gateway Investments is crucial for the company’s transition in keeping pace with current and planned changes to the regulatory process of wealth management.  His knowledge of the investment process and spectrum relating to the wealth creation for individual investors and institutions has helped the company cope with the costs, scale, and speed of this regulatory transformation. 
He is also a Partner at the Gateway Group, having formed this together with current President, Tom Santucci.  Prior to this, Rick was Director of Transition Suites for Royal Alliance, where he provided business development services, namely, start-up and operational support for other financial advisory businesses.  He was especially instrumental in the growth and development of Gateway, focusing more on trust and reputation while highlighting the need to provide invaluable advice and solutions to clients rather than just offering standard financial products.  He was part of Gateway’s recruitment of new advisors and prioritized inviting and developing quality client relationship management (CRM) talent. 

Rick was also the head of US Sales, Executive Vice President, the eventually President at Alliance Bernstein, a research-driven asset management and investment firm.  His time there has led him to make significant investments to core processes and technology for the Gateway Group.  He believes that this infrastructure transformation will redefine how wealth managers serve clients.

“Being a boutique firm, we are better equipped to adapt to changes in the industry and to address the specific needs of our clients.  I have seen our experienced advisors grow professionally as the company invests highly in improving overall skill levels which plays a greater role in customers’ propositions and clients’ perception of value.”

In his 47 years in the securities industry, Rick has held various positions from Operations Manager, Financial Advisor, to Branch Manager, and even Regional Director all at one brokerage firm.  In his spare time, Rick enjoys playing tennis and is an avid golfer. 

*Not registered with Royal Alliance Associates, Inc.