Prior to joining forces with Caldwell Sutter, Rich owned and operated his own broker-dealer and investment advisory business since 1985. Rich manages his investment advisory portfolios from the Caldwell Sutter Capital San Ramon office. He routinely renders advice and counseling in the areas of investment planning, tax, financial and estate-planning. His investment clients include individuals, trusts, IRA rollovers, SEP, Roth and traditional IRA’s and 401-k accounts.

In the last 10 years, Rich has developed a substantial practice as a forensic accountant related to family law matters. Rich serves as an expert witness and provides litigation support for local attorneys. He assists family law courts in tracing unreported income; tracing diversion of community funds, determining division of community property issues, evaluating marital standard of living, and calculating tax consequences related to divorce settlements. While working in this capacity he also analyzes support issues, develops income, expense and cash-flow analysis, and evaluates stock options and sources of income and expenses.

He is a former director of Tri-Valley Community Bank, now owned by Heritage Bank of Commerce. He is also a former director of the Danville Chamber of Commerce.

LICENSES

• A.I.C.P.A
• CA Society of C.P.A.’s
• A.I.C.P.A. Forensic & Valuation Services Section
• Financial and Operations Principal
• General Securities Principal
• General Securities Representative
• Investment Banking Representative
• Municipal Securities Principal
• Municipal Securities Representative
• Operations Professional