Richard Chen has been Chief Compliance Officer of Asset One Wealth Management since April 2025, is not listed as a control person, but directly owns under 5% of the firm.
Asset One Wealth Management, LLC is a Bellevue, WA firm with $983M under management, 1,173 clients and 9 advisers across 9 offices, as of its October 2026 filing.
- Veris Wealth Partners, LLCAlso current– present · 5 yearsNew York, NY · Adviser representative · Firm CRD 143588
Investment adviser representative registrations
Richard Chen is registered as an investment adviser representative in New York, since February 2021.
- New YorkSince 1 February 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 11 February 2019 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Richard Leeway Chen
- CRD
- 7292162
- Firm
- Asset One Wealth Management · CRD 336350
- Role
- Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- January 2021
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Chen work?
Richard Chen has been Chief Compliance Officer of Asset One Wealth Management, LLC since April 2025.
Is Richard Chen a financial advisor?
Yes. Richard Chen has a current investment-adviser registration in New York.
How many years of experience does Richard Chen have?
Richard Chen has 5 years in the financial industry, since January 2021, across 1 adviser firm.
What exams has Richard Chen passed?
Richard Chen passed the Series 65 in February 2019.
Is Richard Chen registered with FINRA?
No. Richard Chen has no current broker registration.
How can I verify Richard Chen’s record?
Search CRD 7292162 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Chen’s full registration record.