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 […]
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 […]
April 8, 2025
Introduction: The Real Cost of Scrambling In 2017, Equifax failed to patch a known vulnerability. As a result, 147 million people had their personal data exposed. It wasn’t a high-tech heist, […]
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 […]
February 12, 2025
Introduction: Why Manual Compliance is a Risky Game Compliance officers might be getting chills, as it’s only the beginning of the year and the SEC has already gotten the party started, […]
February 5, 2025
Introduction: Why Compliance Matters Since the first stock market launch back in 1602, financial markets have always walked a fine line between ambition and oversight. History shows that whenever regulations lag […]
