RIA Compliance and Practice Management Blog

Top RIA Compliance News Articles for the Week of August 10, 2018

Posted by RIA in a Box

Aug 17, 2018 3:01:32 PM

number of broker dealer firms continues to decline

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on the Securities and Exchange Commission's ("SEC") Regulation Best Interest ("Reg BI") proposalCheck back each week for the latest list of top stories.

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Topics: RIA Compliance

Top RIA Portfolio Management and Reporting Software: Morningstar, Orion, and the rest

Posted by RIA in a Box

Aug 13, 2018 3:01:53 PM

top portfolio management and performance repoting software adopted by RIA FirmsThe findings in this blog post come from our annual survey of over 1,500 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2018. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange Commission ("SEC"). The goal of our annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. In this blog post, we focus on the top portfolio management and reporting ("PM/Rep") software used by RIA firms.

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Topics: RIA Operations, RIA Technology

Top RIA Compliance News Articles for the Week of August 3, 2018

Posted by RIA in a Box

Aug 10, 2018 3:05:20 PM

number of broker dealer firms continues to decline

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on the likely choice for the Securities and Exchange Commission's ("SEC") open commissioner seat, the SEC's Regulation Best Interest ("Reg BI") proposal, and the declining number of broker deal firmsCheck back each week for the latest list of top stories.

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Topics: RIA Compliance

The SEC's View on an RIA's Fiduciary Duty

Posted by RIA in a Box

Aug 8, 2018 12:32:56 PM

SEC staff interpretation of RIA fiduciary dutyOn April 18, 2018, the Securities and Exchange Commission ("SEC") released a series of rule proposals highlighted by the new Regulation Best Interest ("Reg BI") and the Form CRS - Relationship Summary, otherwise known as the Form ADV Part 3. While the proposed Reg BI has received the most attention to date from the broker dealer and registered investment adviser ("RIA" communities, what has received less attention is that along with the release of these new rule proposals, the SEC also released its latest views on an RIA's fiduciary duty which "reaffirms, and in some cases clarifies, certain aspects of the fiduciary duty that an investment adviser owes to its clients."

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of July 27, 2018

Posted by RIA in a Box

Aug 3, 2018 1:51:02 PM

Non Protocol start an RIA firm

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on cryptocurrencies, the Securities and Exchange Commission's ("SEC") Registration Best Interest ("Reg BI") proposal, and the Department of Labor ("DOL") fiduciary ruleCheck back each week for the latest list of top stories.

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Topics: RIA Compliance

Top CRM Software for RIA Firms: Redtail, Salesforce, and the rest

Posted by RIA in a Box

Jul 31, 2018 8:57:44 AM

CRM Software reviews for RIA FirmsThe findings in this blog post come from our annual survey of over 1,500 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2018. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange Commission ("SEC"). The goal of our annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. In this blog post, we focus on the top customer relationship management ("CRM") systems used by RIA firms

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Topics: RIA Operations, RIA Technology

Top RIA Compliance News Articles for the Week of July 20, 2018

Posted by RIA in a Box

Jul 27, 2018 12:36:45 PM

Non Protocol start an RIA firm

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on cybersecurity, the Securities and Exchange Commissions ("SEC") advice rule, and the importance of vetting technology vendorsCheck back each week for the latest list of top stories.

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Topics: RIA Compliance

2018 RIA Technology Landscape Infographic is Released

Posted by RIA in a Box

Jul 26, 2018 4:24:56 PM

Back by popular demand, we've officially released our updated 2018 RIA technology landscape infographic. In addition to the 100 featured technology vendors serving registered investment adviser ("RIA") firms, the infographic includes key findings from the 2017 RIA in a Box investment adviser technology and operations survey of over 1,000 firms.

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Topics: RIA Operations, RIA Technology

Top RIA Compliance News Articles for the Week of July 12, 2018

Posted by RIA in a Box

Jul 20, 2018 1:23:00 PM

Non Protocol start an RIA firm

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on factors driving advisors to independence, Regulation Best Interest, and potential complications of surpassing $1 billion in assets under management ("AUM")Check back each week for the latest list of top stories.

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Topics: RIA Compliance

Are More RIA Firms Outsourcing Client Portfolio Management?

Posted by RIA in a Box

Jul 17, 2018 3:23:25 PM

Outsourcing Portfolio Management for RIA FirmsThe findings in this blog post come from our annual survey of over 1,500 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2018. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange Commission ("SEC"). The goal of our  annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. In this blog post, we focus on the frequency and the key attributes of RIA firms that manage client investment portfolios directly or instead outsource portfolio management to a third party.  Investment advisory firms that outsource investment management have a variety of turn key asset management platforms ("TAMPs") available to them to choose from.

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Topics: RIA Operations, RIA Compliance

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