How to Start an RIA Firm on a Budget
Going independent is one of the most rewarding moves an advisor can make. The benefits of going independent are clear: control over your advice, ownership of your client relationships, flexible pricing, and the ability to build real enterprise equity. Instead of fitting clients into a platform, you build a platform around your clients. That independence […]
Don’t Let Your Brand Drown in a Sea of Prompts – Three Financial Firms That Got it Right
I’ve spent a long time arguing that most wealth management firms — especially small to mid-sized RIAs — do a terrible job of differentiating themselves. Years ago, I wrote about what I call “me-too branding”: the habit of mimicking competitors, defaulting to generic messaging, and blending into a landscape where every firm says the same […]
How to Choose the Right Custodian for Your RIA Firm
One of the most common questions we receive from advisors during the initial registration process is simple: Do I need to have a custodian in place before I can register my RIA firm? The short answer is no. In most cases, regulators do not require a newly forming RIA to have a custodial relationship finalized […]
Is Your RIA Ready for the 2026 Annual IARD Renewal?
Is Your RIA Ready for the 2026 Annual IARD Renewal? The 2025 annual IARD renewal period is officially underway, and now is the time to start preparing—for both your firm and your investment adviser representatives. Staying on top of your registrations and renewal fees is critical to avoid any disruption in your firm’s or your […]
What Breakaway Advisors Need to Know About Non-Competes
Employee Agreements and Non-Competes: What Investment Advisors Should Know Before Starting an RIA Firm As momentum behind the RIA model continues to accelerate, next-generation advisors and seasoned professionals alike find themselves weighing the pros and cons of launching solo practices or joining boutique firms in pursuit of greater independence and control. For the right advisor, […]
Naming Your RIA Firm: How to Choose the Perfect Name
RIA Firm Naming 101 Coming up with the perfect brand name for your investment advisory firm is often a lot harder than it sounds. But when you take the time to understand the types of brand names that exist, you’ll be able to navigate the name game a little easier. Whether you’re registering a new […]
RIA Firm Logo Design: Why Your Mark Matters More Than You Think
RIA Firm Logo Design 101 First impressions matter—especially in the world of financial advising where trust, professionalism, and credibility are everything. For Registered Investment Advisor (RIA) firms, a thoughtfully designed logo isn’t just a nice-to-have—it’s a key part of building a brand that attracts and retains clients. Your logo is often the first visual touchpoint […]
How Will the SEC’s Proposed AUM Threshold Increase Affect my RIA?
In early April 2025, acting U.S. Securities and Exchange (SEC) Commissioner Mark T. Uyeda raised the possibility of increasing the asset threshold required for investment advisor registration with the SEC. With the confirmation and tenure of new SEC Commissioner Paul Atkins on April 21st, it is unlikely this idea will be withdrawn. This potential change […]
The Four Most Important Marketing Pages on Your RIA Firm’s Website
Having a website for your RIA firm is essential. But just how critical is it for growing your firm? According to a recent eMoney Consumer Marketing Survey, 98% of respondents indicated that a firm’s website played an important role when choosing a financial advisor. This finding should be pretty eye-opening to any investment advisor who […]
Why RIA Firms Should Avoid Me-Too Branding
Developing a brand is one of the most important steps to ensure your RIA firm’s success. Still, many investment advisors fail to allocate the time and resources necessary to develop an identity that accurately reflects their firm. Instead of embracing the brand-building process as an opportunity to position the firm’s uniqueness and gain a competitive […]