Carrie G. Richards



Carrie Richards assists attorneys throughout corporate best practices guidance, compliance matters and transactions.

Carrie's responsibilities include:

  • Assisting clients with regulatory compliance projects or ongoing routine compliance work, particularly related to Registered Investment Advisors
  • Drafting documents to form, merge and liquidate entities
  • Assisting with mergers and acquisitions due diligence

Past Experience 

Prior to joining Faegre Baker Daniels, Carrie was a compliance officer and salesperson at Elinphant LLC, and she worked as a compliance officer at UBS O'Connor LLC for 10 years prior to that.

Personal Interests

In her spare time, Carrie enjoys ballet and live music, especially jazz and the blues. 

Services & Industries





Roosevelt University
Paralegal Certificate

University of Wisconsin
B.A. with distinction

Leadership & Community

Professional Associations

  • National Society of Compliance Professionals
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