Capping Alternative Investments: What Every RIA Should Know
In our latest Compliance Tip of the Week, Sam Carter, Director of Registration and Compliance at Advisor Guidance, walks through why setting a cap…
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Advisor Guidance team
Director of Registration Services
Sam has a background in securities law, including roles as in-house counsel and senior compliance officer at an institutional broker-dealer, and as the director of examinations and licensing for a state securities agency. Prior to working in the securities industry, Sam was an international tax and M&A attorney at PricewaterhouseCoopers LLP. In his current role at Advisor Guidance, Sam is responsible for assisting new Registered Investment Advisers with SEC or state filings, as well as helping them to develop their initial compliance and regulatory processes.
6 articles
In our latest Compliance Tip of the Week, Sam Carter, Director of Registration and Compliance at Advisor Guidance, walks through why setting a cap…
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One of the most common questions we receive from advisors during the initial registration process is simple: Do I need to have a custodian…
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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…
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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…
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RIA Compliance: The Conflicts Resulting from Wearing Multiple Hats Many Registered Investment Advisor (RIA) firms offer insurance, tax and accounting, legal, business consulting, and…
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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…
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Is Your RIA Ready for the 2026 Annual IARD Renewal? The 2025 annual IARD renewal period is officially underway, and now is the time…
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Many investment advisers want to grow and scale their RIA firms. In our last article, we focused on outlining a few steps you can…
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Understanding the RIA Compliance Examination Process Whether you run a boutique, state-registered RIA on your own or serve as the Chief Compliance Officer of…
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How Should an RIA Count the Number of Its Clients? Each year from January to March, nearly all Registered Investment Advisors (RIAs) are busy…
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Each year from January to March, nearly all Registered Investment Advisor (RIA) firms are busy gathering information to update and file the Form ADV…
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This article provides an overview of what investment advisors need to know about the 2021-2022 RIA firm annual registration renewal process.
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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…
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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…
Read articleSam has a background in securities law, including roles as in-house counsel and senior compliance officer at an institutional broker-dealer, and as the director of examinations and licensing for a state securities agency. Prior to working in the securities industry, Sam was an international tax and M&A attorney at PricewaterhouseCoopers LLP.
In his current role at Advisor Guidance, Sam is responsible for assisting new Registered Investment Advisers with SEC or state filings, as well as helping them to develop their initial compliance and regulatory processes.