The Practice

  • Show Your Employees How Much You’re Really Paying Them
  •  Anti-Fraud Provisions of the Investment Advisers Act Anti-Fraud Provisions of the Investment Advisers Act
  •  Books and Records Rule Books and Records Rule
  •  Conducting Due Diligence of Sub-Advisors and Third-Party Advisors Conducting Due Diligence of Sub-Advisors and Third-Party Advisors
  •  Disaster Recovery Plans and Succession Planning Disaster Recovery Plans and Succession Planning
  •  Meeting and Exceeding Clients and Regulators’ Expectations Meeting and Exceeding Clients and Regulators’ Expectations
  •  Preventing and Dealing with Client Complaints Preventing and Dealing with Client Complaints
  •  RIAs and Customer Identification RIAs and Customer Identification
  •  Registration Requirements for Investment Advisor Representatives (IARs) Registration Requirements for Investment Advisor Representatives (IARs)
  •  Risk-Based Oversight of Investment Advisors Risk-Based Oversight of Investment Advisors