How To

How to Comply with RIA Regulations

The regulatory environment for RIAs is in a state of constant evolution. RIAs are still trying to navigate the new rules set forth by Dodd-Frank, such as the so-called “red flag” rule, aimed at reducing the risk of identity theft, and there is increasing pressure for the SEC to adopt...

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The Do’s and Don’ts of Hiring

Your business is only as good as its people. Unfortunately, every business inevitably makes regrettable hires or will in the future. In fact, 90% of participants in a recent Trust Company of America Genius Session on the do’s and don’ts...

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Conversion Made Easy: Switching to a New Custodian

Casey Hunt dreamed of having a one-stop shop for back-office solutions, data reconciliation, reporting and Customer Relationship Management (CRM). For years, he had multiple in-house employees manage those functions. He later outsourced to another company, but...

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How to Attract Talent to Grow Your Firm

The RIA channel has enjoyed tremendous growth in recent years. From 2008-2012, more than 4,000 advisors wirehouses and large advisor firms to join the ranks of Registered Investment Advisors, ...

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