Back to ACE Academy 2022 - Nashville

Rick Rosenthal

Director, North American Derivative Sales, Cboe Global markets

Best Practices in Risk Management for Fiduciaries

As goals-based wealth management strategies continue to evolve, there is an increased need to better understand the drivers of risk and how to implement institutional caliber methodologies for risk management. Through establishing a culture that embraces proper due diligence, along with the use of new analytic tools and options-based strategies, advisors can improve client relationships and mitigate risk. This pre-conference workshop is designed to help fiduciary advisors conduct more meaningful risk assessments and implement best practices when creating portfolios for their high-net-worth clients.


Rick Rosenthal is Director, North American Derivative Sales at Cboe Global Markets, Inc. (Cboe). In this role, Rosenthal actively promotes the use of Cboe’s proprietary index products to institutional market participants. He also educates market participants on the utility of Cboe’s proprietary index listed derivatives and works with third-party index providers to support index adoption.

Rosenthal was previously Head of Listed Equity Derivatives for Dean Witter and Cargill Investor Services, supporting institutional clients on various Chicago exchange floors, as well as owning a FINRA Broker-Dealer. He was a FINRA broker for more than 30 years, during which he held Series 3, 4, 7, 24, 55, 63, and 66 licenses.

Rosenthal holds a Bachelor of Business Administration from the University of Iowa.