Transitioning Your RIA Firm Registration from State to SEC: What Every Investment Adviser Needs to Know
Many investment advisers want to grow and scale their RIA firms. In our last article, we focused on outlining a few steps you can take to grow your firm’s business organically. In this article, we are going to walk you through the process of transitioning your RIA firm from a state registration to an SEC […]
How to Prepare Your RIA Firm for a Compliance Examination
Understanding the RIA Compliance Examination Process Whether you run a boutique, state-registered RIA on your own or serve as the Chief Compliance Officer of a billion-dollar advisory firm, your firm can expect to be examined by its regulator. For new RIAs, the initial examination typically occurs within 12 to 18 months of the firm’s approval […]
How RIA Firms Can Develop a Content Marketing Strategy that Nets New Clients
When it comes to attracting new clients for your RIA firm, content is king. According to research conducted by Demand Metrics, content marketing costs 62% less than traditional marketing and generates about three times as many leads. The fact is, nearly every person who uses the internet is looking for answers. And it’s a safe […]
How to Grow Your RIA Firm Organically Using Proven Practices
What is the best way to grow your startup RIA firm? Before we answer that question, it’s important to first understand that there are two primary methods to scale your registered investment advisor (RIA) firm. These two growth channels are defined as organic and inorganic processes. Business growth from the organic process is homegrown. It […]
How Should an RIA Count the Number of Its Clients?
How Should an RIA Count the Number of Its Clients? Each year from January to March, nearly all Registered Investment Advisors (RIAs) are busy gathering information to update and file the Form ADV annual updating amendment. The three most frequently asked questions they have are: How should they count the number of clients, how […]
How Should an RIA Count Assets Under Management?
Each year from January to March, nearly all Registered Investment Advisor (RIA) firms are busy gathering information to update and file the Form ADV annual updating amendment. During this time, the three most frequently asked questions they have are: How should they count the number of clients? How do they calculate their regulatory assets under […]
How to Design the Best RIA Firm Website: A 6 Point Checklist
Picture this scenario: A potential client in your area is on Google looking to hire a new financial advisor to get a professional’s perspective on their existing portfolio and to explore new investment opportunities. When they search, “investment advisor” they come across a listing of Google Business Profiles that link to each firm’s website. When […]
How RIA Firms Can Use Google Business Profiles for Growth
How RIA Firms Can Use Google Business Profiles for Growth Increasing your visibility across Google is a key step to boosting your RIA firm’s online brand presence and improving your company’s lead generation efforts. One essential, but often overlooked, tool to help investment advisors accomplish these tasks is to create and optimize their Google Business […]