Director of Compliance
Luan Dollens, CPFA®, IACCP®
Aldrich Wealth LP
- RIA Compliance
Luan joined Aldrich Wealth in the Spring of 2022 as the Director of Compliance, where she utilizes her vast experience to lead, develop, and implement the firm’s compliance program.
Her career spans more than 25 years in the compliance industry within the financial services sector, including both small and large broker-dealers and registered investment advisors (RIAs). She has been in many roles throughout her career and has been responsible for developing and maintaining branch inspection programs, client complaint resolution, errors and omissions, advertising review, and supervision. Before joining Aldrich Wealth, she was a Senior Compliance Officer for a large RIA with multiple independent offices and over 275 advisors.
Luan works alongside Aldrich Wealth’s executive leadership team to direct the compliance program and its strategic initiatives by focusing on developing a sound compliance program that protects the firm, our clients, and our employees.
Luan is a Certified Plan Fiduciary Advisor (CPFA) and recently earned her Investment Advisors Certified Compliance Professional (IACCP) accreditation. She is a current board member for the Greater Portland Compliance Association (GPCA), a non-profit comprised of securities compliance professionals who share ideas and best practices. Luan earned her Bachelor of Science in Business Administration with a focus in Finance and Economics from Portland State University.
Outside of the office, she enjoys keeping busy in her garden, taking long hikes, traveling with her husband, and visiting the countless wineries Oregon has to offer.