December 16, 2024
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 […]
December 9, 2024
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 […]
December 2, 2024
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 […]
November 25, 2024
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 […]
November 14, 2024
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. […]
September 10, 2024
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 […]
September 3, 2024
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 […]
August 28, 2024
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 […]
August 21, 2024
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 […]
