Many new RIAs expect compliance to be a headache, but it doesn’t have to be.This checklist can help you stay on top of the requirements. Please note that this list is not comprehensive, and some tasks may only apply to SEC-registered firms. Create.

Prepare Preparation can help you get the most bang for your buck (and time). Research which conferences you’ll attend. Look for discounts and benefits. Many conferences have early bird registration deals, discounts with partner.

As flat fees grow in popularity, here’s what you need to know. According to Advyzon user data, 26% of firms now use flat fees. While these firms may not be using flat fees exclusively (and likely aren’t … more on that later), it’s clear the flat-fee.

Why you don’t have to be a giant firm to use their tactics for growth. “Right now, we’re at four employees, including me,” Johnny Flavin says to kick off our conversation. “But we’re in the process of merging two firms under us. One firm has two.

The COVID-19 crisis was a wakeup call for a lot of RIAs to explore new technology. According to Fidelity, two out of three RIAsstarted looking at new financial technology (FinTech) in 2020. But for many RIAs, the fear of converting data from their.