Sara Andres serves as Chief Compliance Officer of Capital One ShareBuilder and ShareBuilder Advisors LLC. Sara joined the firm in August of 2013 and brings over 15 years of experience in the financial services industry having previously served as CCO at TD Ameritrade and most recently serving on the senior leadership team at Ameritas Investment Corp.
As CCO, Sara oversees the compliance functions of ShareBuilder as well as acts as the primary advisor regarding the firm's overall compliance scheme and the particularized rules, policies and procedures the firm uses to oversee its business activities. Sara has been active in the industry serving on various Securities Industry and Financial Markets Association (SIFMA) and Financial Industry Regulatory Authority, Inc. (FINRA) committees. Sara has served on the advisory boards of both the University of Nebraska College of Business and MBA program. She also served as a board member for the Omaha Area Youth Orchestra.
Sara completed the FINRA Institute at Wharton and as such is a designated Certified Regulatory and Compliance Professional. She holds multiple securities licenses and is a graduate of the University of Nebraska–Lincoln.
Erik Erichsen is the Head of Brokerage IT for Capital One ShareBuilder. He is responsible for the development and implementation of brokerage platforms and applications. He oversees Development, Application Architecture, Quality Assurance, and Program and Project Management, and coordinates Infrastructure and Operations.
Erik began working with ShareBuilder in late 1998 as a Developer during the creation of the ShareBuilder platform. During his tenure he has led a variety of technology teams and created the Business System Analysis, Application Architecture, and DevServices (DevOps) teams. Prior to his time at ShareBuilder, Erik created training software for a Department of Energy contractor used by over 14,000 employees/year.
Erik received a B.S. degree from Western Washington University and a M.S. degree from Illinois State University. He also holds a Series 99 FINRA license.
Dan serves as President of Capital One ShareBuilder and President and Chief Investment Officer of ShareBuilder Advisors LLC.
Over the past 12 years, Dan has been instrumental in building ShareBuilder into the company it is today. During that time, he served as the company's CFO and member of the Executive Management Team securing venture financing, driving M&A activity, managing daily market risk and launching the ShareBuilder 401(k) product.
Dan joined the company in 2000 as an Executive Officer and CFO; Dan served as a member of the Board of Directors prior to joining full time as an employee. Prior to ShareBuilder, Dan worked for the investment and insurance group of GE Capital Services, now known as Genworth Financial. As Vice President, Business Development for GE Capital, he specialized in corporate finance, portfolio risk management, strategic investing and merger and acquisitions. Prior to GE Capital Services, Dan held several senior investment positions at Washington Square Capital, a subsidiary of ING, and Piper Jaffray & Hopwood in Minneapolis.
Dan has previously held numerous Board positions at early stage companies. He holds Series 4, 7, 24 and 63 FINRA licenses and is a Chartered Financial Analyst (CFA) and a member of the Seattle Society of Financial Analysts (SSFA). Dan is a graduate of the University of Minnesota. He currently serves on the Downtown Seattle Association Board and several community organizations.
Matt serves as Controller of Capital One ShareBuilder and its parent ShareBuilder Corporation. He is responsible for managing the company's accounting and financial reporting. Matt has more than 19 years of experience in accounting and finance.
Before joining the company in 2009, Matt held various accounting and finance positions. Most recently he was CFO of Cyrk, a promotional products company, and prior to that Treasurer at Cascade Natural Gas, a utility company. Matt spent the first five years of his career working at Price Waterhouse.
Matt holds a BA in Economics from Brigham Young University and an MBA from Texas A & M University. He is also a CPA.
Broker Dealer Operations &
As Vice President of Broker Dealer Operations, Bob oversees all aspects of ShareBuilder’s brokerage operations including: Trading, Corporate Actions, Funding, Reconciliation and Financial Reporting to FINRA. Bob has 13 years of experience in the financial services industry. Since joining ShareBuilder in early 2000, Bob has played a pivotal role in building a robust operating model that supports ShareBuilder products and customers in the digital marketplace. Bob also oversees the ShareBuilder Customer Service Department.
Prior to his career at ShareBuilder, Bob worked as a credit manager for Norwest Financial, which was acquired by Wells Fargo Financial in 1998. Bob is a graduate of the University of Montana where he received a B.A. in Business Administration (emphasis in Finance) and Economics. He holds FINRA licenses series 4, 7, 24, 27, 55, 63, 65 as well as the Chartered Financial Analyst (CFA) designation.
Brandon serves as the Vice President of Product Management for Capital One ShareBuilder. He is responsible for all aspects of product management, strategy and implementation for ShareBuilder’s online and mobile platforms, as well as retirement services.
Before joining the company in 1999, Brandon was the Director of Advertising at Sierra On-Line, leading all direct marketing efforts for the entertainment and education software development company. Prior to Sierra On-Line, he supported marketing and business development at Adobe Systems. Brandon has more than 20 years of management and leadership experience within high-growth, technology-based companies.
Brandon received his BA from Washington State University and holds a Series 7 FINRA license. He also serves on the ShareBuilder Governance and Investment Committees as well as the University of Washington Product Management Advisory Board.
As Senior Director, Associate General Counsel, Tangela S. Richter supports Capital One’s Direct Bank and broker-dealer businesses (including ShareBuilder), providing legal advice and guidance focused on the company’s online bank and brokerage business operations. Previously, Ms. Richter was responsible for managing all aspects of Capital One’s securities law function, including providing legal support and guidance for filings under the ’34 Act and proxy rules, and supporting the Compensation Committee of the Board of Directors. Prior to joining Capital One in October 2006, Ms. Richter was a Legal Branch Chief in the Corporation Finance division of the Securities and Exchange Commission. Prior to joining the SEC, Ms. Richter practiced taxation law at Simpson, Thacher & Bartlett LLP, in New York, NY, and corporate law at Bass, Berry and Sims PLC, in Memphis, TN.
Ms. Richter is a member of the Board of Trustees of the Legal Aid Society of the District of Columbia, and is on the Board of Advisors for Corporate Counsel Women of Color. Ms. Richter is also a member of the National Bar Association, the Washington Metro Area Corporate Counsel Association and the American Bar Association, Business Law Section.
Ms. Richter is a member of the New York Bar and is Corporate Counsel in Virginia. Ms. Richter received her B.A. degree from Howard University and her J.D. from Harvard Law School.
Marketing & Analytics
Garrett Silver, CFA, is Vice President of Marketing and Analytics for Capital One ShareBuilder. He is responsible for the ShareBuilder business strategy and oversees Marketing, Business and Data Analytics, Customer Research, ShareBuilder Brand Strategy, and Product Development.
Garrett worked with ShareBuilder in a consulting role in 1999 and joined the company in 2004 as an IT and Data professional, subsequently contributing to ShareBuilder’s strategy as the Divisional CIO. His early career included product design, database design, application architecture, and software development in the Apparel and Debt Collection industries.
Garrett received his B.A. from Western Washington University and holds a Series 7 FINRA license. He achieved the Chartered Financial Analyst (CFA) designation in 2010.
Caroline Peani joined the Capital One ShareBuilder team as Head of Human Resources in November 2012.
With more than 14 years of experience at Capital One, Caroline brings a breadth of experience to her role. She joined Capital One in 1998 as a statistical analyst in the credit card division, and has since held a variety of leadership positions in the credit and retail banking businesses in the U.S. and abroad, expanding her focus well beyond analytics. She has always had a passion for human resources, delivering successful business results by developing high-performing associates and teams.
Caroline holds a Master of Science and Bachelor of Science from Carnegie Mellon University and is an executive coach.