Albert Johnson

As Managing Director, Head of Branch Supervision, Al is responsible for the oversight and implementation of an effective compliance program to prevent illegal, unethical, or improper conduct, and monitoring and reporting results of the program. Al provides guidance on matters relating to reporting and compliance and ensures compliance with the rules and regulations of the firm and the securities industry. He also oversees all regulatory audits and inquiries. Al has over 20 years of experience in compliance leadership roles.

“We are partners with advisors in understanding and adhering to industry regulation. We ensure our firm and by extension, advisors, are employing compliance best practices in all aspects of regulatory requirements.”

Doug Ketterer

Chief Executive Officer and Founding Partner

The vision and influence to advance an industry. Doug is passionate about the value of personal advice. He believes that customized solutions created by one advisor, working with one client, aren’t just the core of wealth management—but the key to its future. A well-known Wall Street thought leader with over 30 years in the industry, Doug is a sought-after source of ideas that elevate the advisor-client experience. With insight gained as a long-time Morgan Stanley executive, and a clear-eyed commitment to the principles he preaches, Doug is in the right place to lead Atria, its subsidiaries—and the advisors they serve—to a better future.