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 With the confirmation and tenure of new SEC Commissioner Paul Atkins on April 21st, it is unlikely this idea will be withdrawn.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 […]
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 […]
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 […]