Nerd's Eye View

APRIL 26, 2023

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Creating a compliance calendar for a solo RIA can help to systematize and manage compliance tasks, requirements and deadlines.

Compliance 224

Compliance Clients Advertising Accounting 224

Nerd's Eye View

APRIL 26, 2023

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. The 1st category of tasks that advisory firms must handle involves renewing their registration with the applicable state(s) in which they do business each year, which typically involves submitting select documents (e.g.,

Compliance 228

Compliance Clients Advertising Accounting 228

Nerd's Eye View

FEBRUARY 1, 2023

In recent years, though, the growing use of lead-generation services, advisor networks, and ‘advisor-matching’ tools, referred to as “operators” in the Marketing Rule’s Adopting Release, has given rise to third-party solicitation activity that often looks more like advertising directly to prospective clients.

Compliance 165

Compliance Advertising Marketing Marketing 165

Nerd's Eye View

JUNE 7, 2023

All Investment Adviser Representatives (IAR) of registered investment advisory firms are required to file Form U4, a regulatory filing containing public disclosures of certain information about financial professionals. Read More.

Compliance 195

Compliance Advertising Media Investing 195

Nerd's Eye View

DECEMBER 7, 2022

For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!).

Advertising 195

Advertising Investing Investments Marketing 195

The Big Picture

MAY 16, 2023

How does a kid from Arizona, from Phoenix, get interested in venture investing, not exactly known as a hotbed of early-stage tech companies. And I’m like, dad, I found I need 25 grand to get going and my dad said send me a business plan. I went to business school RITHOLTZ: He just wanted you to go through the exercise.

Media 281

Media Investing Investments Valuation 281