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Richard Simek

Chief Compliance Officer at Polen Capital Management

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Richard Simek is Chief Compliance Officer of Polen Capital Management, LLC, a Boca Raton investment adviser managing $24.1B. Richard Simek has a current broker registration and no current investment-adviser registration and has passed the SIE, Series 7TO, Series 24 and Series 66.

Role at Polen Capital Management

Title on Schedule A
Chief Compliance Officer
Control
Richard Simek is a control person of Polen Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Richard Simek has held the filed role since September 2026.

The firm

Polen Capital Management, LLC
Boca Raton, FL

Form ADV filed 30 September 2026

$24.1B AUM1,602 clients22 advisers4 offices

Career on record

Firms and exams, newest first
  1. Passed Series 66 · 2026
  2. Passed Series 24 · 2025
  3. Passed SIE and Series 7TO · 2024

Registrations and exams

Broker registration; no current adviser registration. Richard Simek has passed 4 qualifying exams.

Examinations

Series 6611 August 2026
Name
Uniform Combined State Law Examination
Series 2416 July 2025
Name
General Securities Principal Examination
Series 7TO25 October 2024
Name
General Securities Representative Examination
SIE16 July 2024
Name
Securities Industry Essentials Examination

Individual record

Full name
Richard Joseph Simek
CRD
4956922
Firm
Polen Capital Management, LLC
Registration status
Broker registration; no current adviser registration

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 Simek work?

Richard Simek has been Chief Compliance Officer of Polen Capital Management, LLC since September 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Richard Simek have a current investment-adviser registration?

Richard Simek has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Richard Simek passed?

Richard Simek has passed 4 licensing exams: the SIE, Series 7TO, Series 24 and Series 66. The earliest, the SIE, was passed in July 2024.

Source: IAPD individual record, checked 18 October 2026

Leadership at Polen Capital Management

Sources

  1. IAPD individual record, CRD 4956922. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Polen Capital Management, LLC, filed 30 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 Simek or Polen Capital Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.