RIA Formation

Generally, most newly registered investment adviser (RIA) firms require custodians. Following the enactment of the 1940 custody of rule of the Investment Adviser Act, every investment adviser is required to use a “qualified custodian” or be subjected to additional...

Going independent should never be a snap decision. After all, starting a firm from the ground up is no small task. However, with the proper guidance and information, the rewards are yours to enjoy. Taking the big leap and starting your RIA firm could be the most...

Getting ready to branch out on your own as a new RIA can be an exciting time. You have spent years developing your skills and knowledge, and now you are interested in creating your firm. While many people are seeking your assistance as a registered financial advisor,...

Now is the time to start working on a stronger relationship with your current employer, clients, co-workers as well as investigating requirements and options. This season of due diligence will pay dividends down the road when it comes time to make the leap to your own...

It is unsurprising when a registered investment advisor (RIA) chooses to part ways with a firm where his or her career has stalled or just not risen to desired heights. What is surprising to many in the investment community is that many RIAs are now breaking away from...

The Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) recently announced its new examination priorities where investment advisers are concerned. While the majority of the exam priorities are the same as in previous years, there are a few...

If you’ve been a financial advisor for a while, you may dream of one day breaking away from the big firm you work for. You may want more autonomy, the ability to set your own hours and use your own financial planning philosophy more when you work with clients....