Added on August 2017 in Form an RIA
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Summary: New RIA registrations each year have more than doubled since the start of the millennium, according to an exclusive Financial Planning review of state notice filings. The same period has also seen explosive growth in RIAs’ state registrations, a sign that RIAs are expanding their national footprint.
Added on August 2017 in Form an RIA
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Summary: On August 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) released their observations of cybersecurity preparedness from the examinations of 75 SEC registered firms, including registered investment advisors (“RIAs”).
Added on August 2017 in Form an RIA
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Summary: In addition to the many disclosures non-level-fee fiduciaries must make when they execute a best-interest contract with new or existing clients, advisors must also make disclosures about their website and make certain information available there.
Added on August 2017 in Form an RIA
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Summary: Below is a transcript of an interview Matt and Larissa conducted over margaritas in Hermosa Beach, CA on June 20th, 2017.
Added on August 2017 in Form an RIA
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Summary: Advisors have long hunted the $13 trillion in total investable assets held in high-net-worth households. In fact, 13% of advisory firms now focus on the wealthiest clients that account for less than 1% of the U.S. population, according to new research from Cerulli Associates.
