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10 Sep 2021, 5:48 am
How One RIA Finds Solutions To Minimize Tax Issues For The Wealthy: Fred Hubler of Creative Wealth Management Group in Pennsylvania said advisors need to specialize to succeed. [read post]
23 Aug 2013, 9:15 am
The two firms are Rushmore Investment Advisors, in Dallas, and Holt-Smith Advisors, in Madison, Wis.; Banyan is based in in Palm Beach Gardens, Fla.Consolidation in the RIA space is bound to happen, as medium size RIA look to increase their geographical market share and their coverage.We have been working with RIAs of all sizes for decades in their compliance, regulatory and business transactions. [read post]
27 Jan 2023, 11:38 am
The post SEC Investigating RIAs over Crypto-Asset Custody appeared first on The White Law Group. [read post]
1 Feb 2013, 7:00 am
FINRA is now permitting RIAs to participate in its arbitration process. [read post]
2 Feb 2011, 3:05 pm
Per our agreement with RIA, our students, faculty and staff may access RIA Checkpoint in offices or via lab and computer classroom workstations without having to enter a user name or password. [read post]
19 Nov 2009, 6:27 am
This would be a significant change in the regulatory landscape, and is one that many RIAs and industry groups oppose. [read post]
7 May 2020, 12:58 pm
In particular, BDs and RIAs have been primary targets. [read post]
25 Apr 2010, 10:00 pm
By RIA (Firm)RIA’s Complete Analysis of the Tax and Benefits Provisions of the 2010 Health Care Act as Amended by the 2010 Health Care Reconciliation Act explains the massive changes that will affect almost all individual taxpayers and employers. [read post]
16 Feb 2023, 7:00 am
The post SEC Settles Charges Against RIA for Failure to Review Wrap Fee Programs appeared first on RIA Compliance Blog. [read post]
8 Sep 2021, 5:46 am
The post States Continue to Adopt Laws to Help RIAs Protect Vulnerable Adults appeared first on RIA Compliance Blog. [read post]
13 Jan 2016, 4:05 pm
Additionally, office space and technology and other expenses require both time and money that place a burden on the new RIA’s.The largest burden for new RIA’s according to InvestmentNews survey data is regulatory costs. [read post]
8 Apr 2022, 6:52 am
The post Integrated Wealth Concepts, LPL Hybrid RIA, Settles Fraud Lawsuit appeared first on The White Law Group. [read post]
14 Jul 2014, 10:31 am
In 2008, the principals asked the dually-registered broker-dealer and investment adviser to allow them to have ownership and control of SignalPoint but were told that they could not have an ownership in an outside RIA. [read post]
13 Feb 2012, 1:30 am
RIAS serves as agora for the global network of international scholars, teachers, and students of America as hemispheric and global phenomenon. [read post]
30 Jan 2013, 11:00 am
Generally, new RIAs are more, frequently, examined than those that have an established history. [read post]
30 Sep 2022, 11:24 am
Examples of such means are: Continue reading › The post SEC ANNOUNCES EXAMINATION FOCUS ON NEW RIA MARKETING RULE appeared first on FINRA Lawyer Blog. [read post]
1 Feb 2022, 8:02 am
To resolve the situation, the Kúria recently published another Opinion of the Civil Department. [read post]
29 Jan 2013, 11:00 am
These new RIAs, now, account for roughly 40% of all RIAs. [read post]
3 Sep 2020, 6:25 am
The post SEC Adds RIAs to Definition of “Accredited Investor,” Adopts Other Changes appeared first on RIA Compliance Blog. [read post]
3 Sep 2012, 11:57 am
If a sales representative of an RIA endorses a specific portfolio on his personal Facebook page, what ramifications could the RIA face? [read post]
