By Ivan Barretto, RIA Compliance Concepts AI Washing in RIA Marketing What Advisors Need to Know AI Washing in RIA Marketing What Advisors Need to Know Walk through almost any adviser’s website and you will see some version of the same promise: “AI-powered portfolios,” “machine-learning insights,” “intelligent planning,” or “automated intelligence for better outcomes.” Some of those claims are accurate. Many are aspirational. A few describe technology the firm does not use at

MNPI Recognition for RIAs: What CCOs Need to Know MNPI Recognition for RIAs: What CCOs Need to Know MNPI problems rarely arrive with a warning label. They show up in ordinary places: a due diligence packet, a casual comment from an issuer contact, a side conversation at an industry event, or a private fund update that says more than it should. Every registered investment adviser must establish, maintain, and enforce written policies reasonably designed to prevent the misuse o