Mitchell Fillet - President and Chief Compliance Officer

Mr. Fillet has over 25 years of experience with a record of achievement in the financial services sector. He has held senior positions at five globally prominent financial services firms, in areas as diverse as public finance, fixed income research, and sales management. He is a former Senior Vice President of Merrill Lynch™. Mr. Fillet was also a Senior Vice President of Prudential Securities™ and sat on the national management committee of Prudential Securities’ middle- market’s institutional sales force. That group was responsible for various policies and procedures that directly affected and controlled over 135 licensed sales professionals who consistently produced in excess of $125,000,000 of annual commissions and fees.

Mr. Fillet graduated from Boston University and holds an M.B.A. from the Stern School of New York University. He has served on the faculty of both New York University and Fordham University. At the latter institution, he taught at the Martino Graduate School of Business and was awarded the Distinguished Lecturer in Finance. He appears in various volumes of Who’s Who and sits on the Boards of several companies and charitable organizations including as President of one of the largest chapters of the Catholic Youth Organization in the Archdiocese of Washington, D.C.

Mr. Fillet shares responsibility for all of Riderwood's investment banking activities with Jack Kalagher. He also provides management and oversight of the firm's regulatory and compliance initiatives and is part of the team that brings strategic leadership to the organization.

Email: mfillet@riderwood.com