April 1, 2026
There’s a version of this you’ve probably seen at least once: a client firm you’ve been working with for two years decides to get serious about marketing. They hire a content person, […]
March 10, 2026
Most RIAs don’t build a compliance system. They build a practice, and compliance grows alongside it. In the early years, that works surprisingly well. A handful of advisors, a small operations team, […]
March 6, 2026
Artificial intelligence is rapidly reshaping the financial services industry. For compliance teams in particular, the promise of AI is significant: greater efficiency, smarter automation, and the ability to manage growing regulatory complexity […]
March 5, 2026
Most RIAs begin their compliance program in Excel. For a while, it works. Spreadsheets are familiar, flexible, and inexpensive. A compliance calendar lives in one file. Attestations are tracked in another. Policies […]
March 2, 2026
When RIAs think about non-compliance, they usually think about the headline fine. A $150,000 civil penalty. A disgorgement order. A public enforcement action. But the fine is rarely the most expensive part. […]
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 […]
