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 [...]
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, [...]
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 [...]
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 [...]
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 [...]
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") [...]