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 […]
Branding Your RIA Firm: Why It Matters Now More Than Ever
If you are starting a new Registered Investment Advisor (RIA) firm, you probably already know that meeting the numerous compliance and legal requirements can take a substantial amount of time and energy. On average, a new firm spends between 6 to 12 weeks navigating the approval process. What most new RIAs don’t focus on during […]
2021-2022 RIA Registration Renewal Season: What Investment Advisors Need to Know
This article provides an overview of what investment advisors need to know about the 2021-2022 RIA firm annual registration renewal process.
How Investment Advisers Can Avoid RIA Firm Compliance Conflicts
RIA Compliance: The Conflicts Resulting from Wearing Multiple Hats Many Registered Investment Advisor (RIA) firms offer insurance, tax and accounting, legal, business consulting, and other services to their investment advisory clients. Some registered Investment Advisor Representatives (IARs) are also Registered Representatives at broker-dealers, or are registered with more than one RIA in order to provide […]
The Importance of Building a Rock-Solid Compliance Program for Your RIA Firm
The Importance of Building a Rock-Solid Compliance Program for Your RIA Firm Since going into effect in the early 20th century, the state and federal securities laws and regulations have constantly undergone revision and updating to address emerging risks and changing business practices. As a result, Registered Investment Advisor (RIA) firms are held to an […]
How the SEC’s New Marketing Rule Will Affect Your RIA Firm
How the SEC’s New Marketing Rule Will Affect Your RIA Firm In December 2020, the U.S. Securities and Exchange Commission (SEC) approved an amendment to Rule 206(4)-1 and rescission of Rule 206(4)-3 of the Investment Advisers Act of 1940 (the Advisers Act). The amendment creates a single rule that combines elements of the two rules, […]
Going Independent: The Benefits of Starting an RIA Firm
Thinking About Starting Your Own RIA Firm? If you are thinking about starting your own RIA firm, you are probably in the process of doing your research and weighing the pros and cons of going independent. After all, building a company from the ground up is no small task. But, for the right advisors the […]
SEC Extends Annual Form ADV Filing Due to COVID-19 Outbreak
SEC Extends Form ADV Filing Deadline to RIAs Amid COVID-19 Outbreak The U.S. Securities and Exchange Commission (SEC) has extended the Form ADV filing deadline for registered investment advisers (“RIAs”) impacted by the COVID-19 coronavirus outbreak. The filing extension is outlined in an order issued under the Investment Advisers Act of 1940 (Advisers Act). Under […]