Added on March 2014 in Form an RIA
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Summary: Why should an ad-viser spend time preparing for a regulatory exam? Only about 60% of SEC-registered investment advisory firms have undergone a compliance examination. Congress blusters about holding the Securities and Exchange Commission accountable to do more but simultaneously denies funding necessary to make that practical.
Added on February 2014 in Form an RIA
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Summary: Specifics of the SEC's Office of Compliance Inspections and Examinations (OCIE) program, called the "Never-Before Examined Initiative" and aimed at targeting unexamined advisors that have been registered with the SEC for three or more years, come just over a month after the agency announced that this issue would be an examination priority in 2014.
Added on February 2014 in Form an RIA
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Summary: As the world of financial advice continues to grow and evolve, advisory firms are increasingly going through a series of consistent stages in the growth of their firm.
Added on February 2014 in Form an RIA
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Summary: Financial advisers looking for new ways to find clients should consider whether the “look right under your nose” approach that's worked for a couple successful advisers would work for them, too.
Added on February 2014 in Form an RIA
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Summary: When I was first considering starting my own independent RIA, I knew there was no way I could keep up with "robo-advising platforms" and their powerful, interactive tools. Over the last year or two that's changed. Today there are a number of systems and software options that allow smaller RIAs to offer their clients the same level of technology and service that they'd find in an online platform or with a larger adviser.
