Employee Spotlight

Ann Hauerland

Client Services


Ann is from the great state of Texas where she was a former regulator for the Registration Division of the Texas State Securities Board. Ann has reviewed and registered hundreds of investment advisers, broker-dealers and securities offerings over the years. She graduated from Texas State University  with a BA in Business Management. While at Texas State, Ann was a 4 year member of the University dance team, the Texas State Strutters. Ann enjoys chocolate, wakeboarding and  staying active with her husband and two dogs.




Fun Facts:
  • Place you'd like to visit: Germany
  • Favorite Color: Pink
  • Favorite Food: Tacos
  • Person you admire most: My mother
  • Favorite Movie: Catch Me if You Can
  • Favorite Book: The Great Gatsby
  • Favorite Place: Lake Austin
The Hot Seat: Q & A Session
  • What do you like most about your position?
    • I really enjoy helping our clients and making the registration process simplified because it can seem formidable at times.
  • What is the most common question you get?
    • How long does the registration process take?
  • What do you enjoy most about helping our clients?
    • I enjoy helping our clients understand the registration process and making them comfortable with regulators.
  • What has been the most important lesson you've learned so far at RIA in a Box?
    • Being thoughtful and deliberate in one's approach is a big competitive advantage and is what sets RIAB apart from the rest. The most thoughtful company wins and I think we're doing a great job of that!
  • Outside of work, what are your interests and passions?
    • I enjoy going to the lake with my husband, wake boarding, dancing, cooking, and taking my dogs for a walk in the evenings.
  • What do you enjoy most about working with the RIA in a Box team?
    • The team here at RIAB is made up of the most genuine, smart, caring, and driven people. I love working with everyone at RIAB. I love my job because of the people I work with. It makes my job so fun!
  • How is your professional experience at RIA in a Box different from your other experiences?
    • As a regulator I wasn't able to help, nor guide investment advisers directly through the registration process and beyond. At RIAB I am able to and I truly enjoy helping our clients through the registration process and helping them learn and navigate the every changing world of regulation and compliance.


What the Rest of the RIAB Team Says About Ann
  • "Ann is one of the most generous people I know! "

  • "Ann loves her dogs Stella and Handsome very much!"
  • "Very well informed, detailed and always available for our clients and our team. It’s not only service with a smile, but resource without reservation!"

  • "Ann brightens up the office by sharing authentic Texas goodies and treats with her non-Texas colleagues. If there are over 5 non-Texas colleagues in an office, the goodies and treats must be registered in the jurisdiction in which they are being received."
  • "Always a pleasure to talk to and work with. She makes time even when she is busy to help out. As a former TSSB regulator, Ann has good contacts and is well respected." 

  • "Ann is so much fun! She brings a fun energy to the office, even all the way in Texas!"
  • "Ann is a wealth of knowledge when it comes to TX registrations and always willing to take the time to explain the regulations. She also always gets a kick out of all the office dog pictures I send her."