September 30, 2025
Every year, the Kitces Report offers a rare, data-backed glimpse into what independent advisors are really using—and loving—inside their technology stacks. The 2025 edition is no exception. From financial planning platforms to […]
September 29, 2025
I’ve sat across from compliance officers who can recite filing deadlines in their sleep but still lose hours hunting through email chains for a missing acknowledgment. I’ve seen consultants juggle five clients’ […]
September 24, 2025
A new webinar from the SEC is a warning shot. It is not a courtesy invitation. On September 25th, the SEC will host a special webinar for large firms focused entirely on […]
September 19, 2025
The SEC recently fined Massachusetts-based investment adviser Meridian Financial $75,000 for a single sentence on their website. That’s not a typo. One line of marketing copy was enough to trigger a high-visibility […]
September 16, 2025
Earlier this month, NASAA (the North American Securities Administrators Association) released its 2025 annual report on state-registered investment advisers. And for smaller RIAs still assuming regulators are focused elsewhere, it should be […]
September 12, 2025
After a decade in compliance, you start to notice the same rhythms: quarter-end scrambles, brokerage feeds that don’t quite connect, the email from someone insisting they already submitted their attestation. But you […]
August 27, 2025
Introduction Zoom in to August 2024: the SEC fines a New York adviser $1.25 million after examiners uncover pervasive “off-channel” business texts that were never retained. The order reads like a cautionary […]
July 21, 2025
Policies: Paperwork or Protection? As Bob Dylan wrote, “You don’t need a weatherman to know which way the wind blows.” You do, however, need a policy management system to prove your team […]
February 20, 2025
From handshake deals to compliance marathons: How RIAs navigate today’s regulatory landscape In the early days of financial advice, relationships ruled the game. A handshake and a reputation were often enough to […]
