Blogs

Choosing the right tax planning software shapes every client conversation you have about Roth conversions, withdrawal timing, and year-end tax moves.

The RIA industry has grown dramatically over the past decade. SEC data shows 15,441 registered advisory firms in 2023, up 35% from 2009, while regulatory assets under management climbed from $39.4 trillion to $128.8 trillion.

The SEC requires that your firm preserve email communications for up to six years, and that data must be stored in a format that cannot be altered or deleted, commonly known as WORM (write once, read many).

Microsoft 365 security hardening for financial firms in 2026. Identity, email, data protection, endpoint, and compliance configurations for FINRA and SEC.

ule 204-2 under the Investment Advisers Act of 1940 sets out exactly what records your firm must create, how long you must keep them, and how fast you must produce them when the SEC asks. Most firms know that much.

Complete SEC Rule 17a-4 compliance guide for broker-dealers in 2026. Covers WORM, the 2023 electronic recordkeeping amendments, retention, and audit trail requirements.

Choosing between Schwab and Fidelity as your RIA custodian is one of the most consequential platform decisions your firm will make. Both are well-established, well-resourced institutions. Both support independent advisors at scale. The real question is not which one is better in the abstract — it is which one fits your firm's service model, technology preferences, client base, and compliance posture. According to a 2025 custodian trends report from AdvizorPro, more than 58% o

Choosing between MoneyGuidePro and eMoney is one of the most consequential technology decisions a financial advisory firm makes.

Your incident response plan is probably missing these 3 things that matter most when regulators, clients, and cyber insurers are watching.

Choosing between Redtail and Wealthbox as your RIA's CRM comes down to more than just features and pricing.

What Actually Happens During an SEC Cybersecurity Exam

The 30-Day Customer Notification Rule for RIAs changes how you respond to a data incident under Regulation S-P.

Your website is not just a marketing tool. Under the SEC Marketing Rule, it is a live compliance surface that regulators can review at any time.

You write a cybersecurity policy that the SEC will accept by making it operational, specific, and tied to how your firm actually manages risk and fights a cybersecurity threat.

The SEC now requires service providers to notify you within 72 hours of becoming aware of unauthorized access to customer information systems they maintain.

Choosing between Redtail, Wealthbox, and Salesforce as your RIA's CRM is one of the most consequential technology decisions you will make.

Choosing between Orion and Black Diamond is one of the most consequential technology decisions your RIA will make.

See the SEC 2026 exam priorities: cybersecurity, Reg S-P, AI controls, and what examiners check first at RIAs and broker-dealers.

Comparing Global Relay vs Smarsh for RIAs and broker-dealers. Compliance, archiving, pricing, and what to choose for your firm.

Complete Reg S-P compliance checklist for RIAs. Get audit-ready before the June 3, 2026 deadline with practical steps and policy templates.