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 hey, that’s […]
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 […]
This recognition, along with our 198% growth rate over the past three years, speaks to our commitment to developing the highest-quality compliance solutions for RIAs. Knoxville, TN – Smartria has been recognized for the second consecutive year on the prestigious Inc. 5000 list of the fastest-growing private companies in America. Ranking at #2,582, we’ve achieved […]
At the end of 2020, the Securities and Exchange Commission (SEC) finalized its reforms to the Investment Advisers Act, particularly as it applies to advertising and marketing. Since dubbed the “New Marketing Rule,” these changes were made in an effort to modernize the rulings and better address today’s marketing communication channels and opportunities. While launched […]
As a financial advisor, you know that maintaining federal regulations and client expectations are paramount to the success of your firm. But did you know that creating a culture of compliance is one of the best ways to truly uphold those standards and expectations? It is! Compliance isn’t a one-time, singular occurrence for any firm, […]
