January 29, 2025
The stakes of trade monitoring for RIAs are high. This is not a rare scenario: an SEC audit uncovers a missing piece in an RIA’s trade monitoring process, landing them with fines […]
January 16, 2025
So you’ve just wrapped up a client meeting, feeling rather good about the progress made. Then, a notification pops up: an SEC audit request is on the horizon. Your mind races: Are […]
December 16, 2024
Introduction: Demystifying Form ADV for RIAs Every advisor remembers the moment they actually realized that being an RIA involves more than just managing portfolios. Among the forms piled high on your […]
December 9, 2024
Introduction: The Road Ahead There’s a certain romance to setting out on your own, whether it’s a road trip across the country or starting your own RIA firm. Both begin with […]
June 29, 2024
On June 27, 2024, the Supreme Court rejected the SEC‘s use of penalizing fraud defendants in civil cases without a trial. The decision comes in response to SEC action taken in 2013. […]
May 14, 2021
A Registered Investment Adviser’s (RIA) and its Investment Adviser Representatives’ (IARs) obligations as fiduciaries are quite extensive. Even seasoned Investment Advisers may not fully understand their fiduciary obligations. Fiduciary duty encompasses much […]
March 9, 2021
On March 3, 2021, the SEC’s Division of Examinations (Division) published its examination priorities for the year. These priorities are the driving force behind the Division’s examinations but are not exhaustive. Examiners […]
August 4, 2020
An upcoming audit often causes sleepless nights for even the most capable professionals. With an increase of SEC exams, it’s not a question of if your firm will be audited but when. […]
May 14, 2019
Being a registered investment advisor isn’t easy. You may have chosen this profession because you have great business and investment sense, a drive to help others manage their wealth, and a desire […]
