Mr. Yates serves as Chief Compliance and Chief Legal Officer for M3Sixty. Richard has spent decades representing businesses primarily in the financial services sector. He has extensive experience representing investment advisors, broker­dealers, banks, registered and private funds, as well as operating businesses.

Mr. Yates has advised clients on a broad range of commercial topics such as: product design and distribution, federal investment regulation, institutional investing, contracts, public and private securities offerings, fiduciary best practices and corporate governance, as well as general corporate and business advice.

Mr. Yates received a B.A. degree from the University of Rochester and a J.D. from Brooklyn Law School with cum laude honors.