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Richard Chen

Chief Compliance Officer at Nicola Wealth Management

Officer record from the firm’s Form ADVForm ADV filed 9 September 2026

Richard Chen is Chief Compliance Officer of Nicola Wealth Management LTD., a Vancouver investment adviser.

Role at Nicola Wealth Management

Title on Schedule A
Chief Compliance Officer
Control
Richard Chen is not a control person of Nicola Wealth Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Richard Chen has held the filed role since July 2021.

The firm

Nicola Wealth Management LTD.
Vancouver,

Form ADV filed 9 September 2026

$11B AUM6,718 clients217 advisers7 offices

Career on record

The IAPD individual lookup on 18 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for Richard Chen is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name
Richard Chen
CRD
7408741
Firm
Nicola Wealth Management LTD.
Record basis
Form ADV officer listing

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Richard Chen work?

Richard Chen has been Chief Compliance Officer of Nicola Wealth Management LTD. since July 2021.

Source: Form ADV, Schedule A, filed 9 September 2026

Leadership at Nicola Wealth Management

Sources

  1. IAPD individual lookup, CRD 7408741. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
  2. Form ADV Part 1A, Schedules A and B of Nicola Wealth Management LTD., filed 9 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Richard Chen or Nicola Wealth Management LTD. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.