Tech Background

Resources Page

Industry Guides

A Comprehensive Guide to RIA Compliance


Compliance Requirements for Exempt Reporting Advisers

Top Archiving Tips for RIA Firms

Best Practices for Email Surveillance

Cybersecurity Insurance 

10 Tips for Business Continuity and Disruption Planning When Forced to Work Remote

Form CRS: 12 Tips to Know

10 Steps to Take When Selecting a 3rd Party Vendor

10 Tips for Conducting Your Firm's Annual Review

Top 10 Tips for RIAs Transitioning from State to SEC Registration

Top 10 RIA Compliance Software Diligence Questions

2018 Top SEC RIA Examination Priorities

2017 Top SEC RIA Examination Priorities

10 Steps RIA Can Take to Reduce  Wire Fraud Risk

How an RIA Firm Can Create a Culture of Compliance

10 Ways RIA Firms Can Benefit from a CRM System

10 Social Media Compliance Guidelines for RIA Firms

10 Key Performance Indicators an RIA Firm Should Track

10 Critical Features of an RIA Technology System

10 Steps to Start an RIA Firm

10 Steps to Prepare for an RIA Regulatory Exam

10 Steps RIA Firms Can Take to Address Cybersecurity Threats


Seven Compliance Archiving
Must-Haves For RIA Firms

2021 Technology Landscape

2021 - 2022 RIA Firm Registration Renewal Infographic

2020 - 2021 RIA Firm Registration Renewal Infographic

How to Manage Cybersecurity with the Coronavirus Disruption

2019 Technology Landscape

2019 - 2020 RIA Firm Registration Renewal Infographic

2019 NASAA Top RIA Compliance Deficiencies Infographic

5 Requirements on Form CRS

Cybersecurity Infographic

State to SEC Transition Infographic

2018 - 2019 RIA Firm Registration Renewal Infographic

2018 RIA Technology Landscape

2017 RIA Technology Landscape

Our Top Tips on How to Start Your Own RIA Firm

2015 RIA Technology Landscape

Top RIA Compliance Deficiencies

An RIA Firm's Guide to All Things Twitter

2014 RIA Technology Landscape

Sample Forms

Annual Document Delivery Letter

Electronic Delivery Authorization

White Papers

Start Your Own RIA Firm

RIA Systems and Operational Best Practices

RIA Billing Best Practices

How an IBD Rep Can Start an RIA Firm: A Step by Step Guide


WEBINAR: The Regulatory Landscape: Record Keeping, Advertising and Social Media


RIA Registration Overview


SEC vs. State Registration


Series 65 Exam Exemptions


Form ADV Update Requirements

RIA Registration: by RIA in a Box

RIA Compliance Software: by RIA in a Box

RIA Registration 101