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PROFESSIONALS
 Kris
M. Wickemeier, IACCP sm
Director of Compliance
krisw@riverpointcm.com
Kris is the Director of Compliance and has over 22 years of experience in the
investment advisory industry. She is responsible for monitoring the firm’s
adherence to the Securities & Exchange Commission’s regulatory
requirements. In the compliance area, she establishes and audits the maintenance
of RiverPoint’s policies, procedures and internal controls. She is also a
member of the firm’s operations team.
Prior to joining RiverPoint, Kris managed the Equity Trading desk at Bahl
& Gaynor Investment Advisors where her responsibilities included
maintaining the data base and systems focused on the automation and accuracy
of the trading process. Her previous experience includes 12 years at Scudder,
Stevens & Clark, where she was Operations Manager and an Equity and Bond
Trading Specialist.
Kris previously held her Series 6 (Investment Co and Variable Contracts
Products), Series 63 (Uniform Securities Agent) and Series 7 (General
Securities Full Registration) licenses. Kris completed the National
Regulatory Services’ Compliance Certification Program. Since completing the
coursework and certification exam she has earned the Investment Advisor
Certified Compliance Professional (IACCP) designation — the first in
Cincinnati.
Valerie Newell
Leon
Loewenstine
Victor
Lassandro
Russell
Sims
Ryan
Brown
Pamela
Schmitt
Casey Jones
Kirk
Koppenhoefer
Mary
Sawyer
Ryan Easter
Joe
Schneider
Other
Staff
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