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 Audit
An Introduction to the RIA Compliance Audit Process As the owner, officer, Chief Compliance Officer, or manager of a Registered Investment Advisor (RIA), you should be aware that your firm will at some point be audited by your federal or state securities regulator. To help your RIA prepare for the inevitable compliance audit, the Mock […]