The Compass business model focuses on a team approach. We believe that maintaining a staff of experienced individuals provides for the proper coverage to handle capacity as workflow expands.
The team concept also minimizes potential vulnerabilities that investment managers may sometimes face as the result of employee absences or turnover.The completion of RFPs and populating consultant databases is an absolute essential for new business development. It is the first stage of the sales cycle and the first impression that the manager makes upon a consultant or prospect. Having the appropriate size staff that is trained and knowledgeable is critical to capitalizing on these opportunities.
See below for details regarding our team members.
Richard P. Gagnon
Mr. Gagnon founded Compass in early 2005 and serves as President. He has over twelve years of financial and investment experience. Prior to Compass, he spent most of the last eight years as Manager of Franklin Templeton's Global RFP/Consultant Support Group.
While at Franklin Templeton, his group prepared all RFP/RFIs, consultant database updates, client due diligence requests and supported various aspects of marketing material production for four investment brands: Franklin, Templeton, Fiduciary Trust and Mutual Series.
Prior to joining Franklin Templeton, Mr. Gagnon worked as a defined contribution marketer for Nationwide Insurance. Mr. Gagnon holds a B.B.A. in Finance from Florida Atlantic University. He has previously held Series 6 & 7 Licenses and is the former Treasurer and 2010 President of the Professional Association for Investment Communications Resources (PAICR).
James F. Locke Jr.
Mr. Locke joined Compass in mid 2005. He has over seven years of investment experience and is primarily responsible for client servicing and overseeing data research, RFP preparation and consultant database population.
Prior to Compass, Mr. Locke operated as an independently funded trader on the Philadelphia Stock Exchange where he was a Member and seat holder. Previous to this, he was primarily an options specialist for firms such as Spear, Leeds, & Kellogg and Botta Capital Management. He holds a B.S. in Business Administration with a concentration in Finance from Villanova University