About & Chris Carosa

About provides essential information, blunt commentary and practical examples for the ERISA/401k fiduciary, the individual trustee and the professional fiduciary. We do this through our own web-site (which you are looking at), our Twitter account (which provides direct links to fiduciary articles from other news organizations) and our LinkedIn Group (which offers a place for extended discussion in a wholly professional environment).  Chris Carosa, a well-respected speaker, author, investor and entrepreneur with more 25 years of experience in the trust and investment industry, serves as chief contributor. Fiduciary News is a product of Pandamensional Solutions, Inc.

Chris Carosa

Chris Carosa

About Chris Carosa

Publishing Achievements: A long-time writer, speaker and researcher, Mr. Carosa founded the Mendon-Honeoye Falls-Lima  Sentinel, a weekly suburban newspaper, before selling it in the early 1990’s. In 1999, the former weekly columnist wrote his first book: “Due Diligence: The Individual Trustee’s Guide to Selecting and Monitoring a Professional Investment Adviser,” published by Ardman Regional Ltd. He followed that up by contributing a chapter to “Planning for the Affluent,” published by Wolters Kluwer Law & Business in 2003. In 2005, his controversial paper, “The Emperor Exposed,” won the highly coveted FPA Symposium Call-for-Papers competition for academic research. He has since had his articles published in other periodicals and, in 2009, began to collect his current and past writings for publication by Aside from his industry reporting, Mr. Carosa also writes on the subjects of astronomy and space exploration as well as dabbling in fiction. He completed his first (unpublished) novel in 2005 and in 2008 he saw his stage play The Macaroni Kid, a musical comedy, produced before sold out community theater crowds. In 2012 he saw his second and third books. Published in April of that year, 401(k) Fiduciary Solutions – Expert Guidance for 401(k) Plan Sponsors on how to Effectively and Safely Manage Plan Compliance and Investments by Sharing the Fiduciary Burden with Experienced Professionals is intended for the plan sponsor and plan service provider audience. Dubbed “a vital reference tool for years to come…” the has received highly favorable reviews and has continually sold well since its original publication. Later that year, Mr. Carosa saw the publication of his book 50 Hidden Gems of Greater Western New York. The book offers a journey to and through some of the more fascinating events, people places and things of America’s first frontier. The trailer and sneak peek alone make a look at the book’s web site worth it.

Professional and Educational History: An industry veteran responsible for creating several mutual funds (including two nationally ranked funds he personally manages), starting a trust company as well as founding his own investment firm, Mr. Carosa regularly speaks at national and international conferences and is frequently quoted in the media on fiduciary and investment issues. He credits his experience as a popular AM disc jockey and sports broadcaster for his entertaining and engaging speaking style. Of course, his ability to connect to a variety of audiences can also be attributed to his broad academic background. Mr. Carosa received his undergraduate degree in Physics and Astronomy from Yale University and his MBA (finance and marketing concentration) from the Simon School at the University of Rochester.  The Institute of Certified Bankers has designated Mr. Carosa a Certified Trust and Financial Advisor. He has also served as an adjunct faculty member for Medaille College where he taught both the introductory and investments courses as part of their financial planning track. He’s also taught economics at SUNY @ Geneseo and astronomy at the University of Rochester. He is particularly intrigued by behavioral economics and continues to research the psychology of decision making.

Community Activities and Family: Mr. Carosa serves on numerous non-profit boards and, most recently, has been the motivating source behind, a global outreach project created in conjuction with the United Nations’ International Year of Astronomy. He is happily married to beautiful Betsy and is blessed with three wonderful children. His hope is that all people achieve their lifetime dream. His own dream is to recreate in his basement a model railroad of Buffalo during its heyday in 1951 featuring steel operations, grain elevators and Class A passenger service… And to get his play produced on Broadway.

Vote in our Poll

The 401(k) Fiduciary Solutions Book

Order Your 401k Fiduciary Solutions book today!


The materials at this web site are maintained for the sole purpose of providing general information about fiduciary law, tax accounting and investments and do not under any circumstances constitute legal, accounting or investment advice. You should not act or refrain from acting based on these materials without first obtaining the advice of an appropriate professional. Please carefully read the terms and conditions for using this site. This website contains links to third-party websites. We are not responsible for, and make no representations or endorsements with respect to, third-party websites, or with respect to any information, products or services that may be provided by or through such websites.