Introduction: The Foundation of Trust Conflicts of interest are the silent disruptors of trust in Registered Investment Advisor (RIA) firms. Beyond regulatory mandates, managing these conflicts effectively is about demonstrating a commitment to client-first principles. Whether it’s navigating compensation structures, relationships with third parties, or everyday client interactions, the stakes are high: mishandling conflicts […]
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 we fully prepared? For RIAs, moments like these are common, but with the right tools, managing compliance and risk becomes seamless. Technology is […]
Compliance reviews are an annual opportunity to show the SEC (and yourself) that your firm is running a tight ship. They help you catch blind spots, update outdated processes, and stay ahead of regulatory scrutiny. This guide walks you through the nuts and bolts of a solid compliance review. From tackling key SEC rules to […]
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 desk, Form ADV likely stood out: daunting, essential, and drowning in legalese. However, it doesn’t have to be a source of dread. When […]
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 a similar feeling: excitement mixed with uncertainty. The map isn’t always clear, and the road is bound to have its twists, but in […]
It starts with an email. You’re at your desk, mid-coffee sip, when it lands: “Urgent: Regulatory Breach Detected.” Your brain races. Was it a missed policy update? A vendor screw-up? Something lurking in those audit reports you skimmed? Whatever the reason, two things are certain: it’s going to cost money, and it’s going to cost […]
Picture a ship navigating stormy seas. The waves are SEC regulations, crashing unpredictably. Hidden beneath the surface are cyber threats and conflicts of interest, ready to upend everything. The RIA is the captain, balancing trust and scrutiny, steering carefully while keeping meticulous logs to prove their every move. There’s more to compliance than just following […]
Why RIA Compliance Is Vital and How to Make it Easier Compliance for Registered Investment Advisors (RIAs) is essential for building trust, protecting client data, and meeting SEC and FINRA regulations. Yet one thing about compliance is that it doesn’t get a lot of airtime—until there is an update, or (worst case scenario) something goes […]
The much-anticipated SEC Marketing Rule went into effect in 2021, though many financial professionals are still testing the waters when it comes to implementing previously unavailable marketing strategies. With the new marketing ruling came some major changes to how advisory firms are able to navigate the digital landscape and attract new clients with social media […]
On July 19, flights were grounded and billboards in Times Square went blank as the world experienced a global tech outage like no other. Triggered by a single botched software update by one cybersecurity company (Crowdstrike), millions of computers—including those operating large-scale systems—crashed. More than an inconvenience for travelers and workers, this event was a […]
