Essential Guide to the Annual ADV Update for RIAs by March 31 Each year, Registered Investment Advisers (RIAs) must submit an annual update to their Form ADV. This filing is a key regulatory requirement that keeps your firm’s information current and transparent for both regulators and clients. The deadline to complete this update is March 31 or within 90 days after your fiscal year-end. Missing this deadline can lead to penalties and damage your firm’s reputation. This guide

Increasing Investor Opportunities Act The Increasing Investor Opportunities Act (IIOA) marks a significant change in how private market investments are regulated in the United States. For decades, access to private offerings has been limited by strict definitions of who qualifies as an accredited investor, primarily based on wealth. The IIOA challenges this approach by expanding eligibility criteria to include education, credentials, and experience. This shift aims to open pr

'Twas the Nightmare Before Year-End: A Compliance Tale 'Twas the week before year-end, and all through the firm, Not a document was...

Clear and accurate fee disclosures are essential for building client trust and meeting regulatory expectations. For Registered Investment Advisers (RIAs), fee transparency isn’t just good business—it’s a legal requirement. With the SEC and state regulators placing increased scrutiny on how fees are described, calculated, and charged, now is the time to revisit your firm’s disclosure practices. --- ### 💡 Why Fee Disclosure Matters Clients need to understand how they’re being