For Registered Investment Advisers and financial advisors seeking a profitable exit, enterprise value is key. After grinding for decades to build a successful practice, you want more than a book of clients and an average revenue multiple to negotiate your sale. A well-run business is ...


Raise your hand if you love doing your regular compliance email review. Many owners or founders at smaller RIA firms are also acting as the Chief Compliance Officer (CCO). This can be challenging when you are trying to grow your business, manage your clients and ...


By: Kristen Guerrero, Owner & Compliance Consultant at RIA Compliance Key February 9, 2021 It’s ADV season!  Preparing the information needed to complete the Annual ADV amendment can be a tedious task for RIA firms.  As a Compliance Consultant, I want to make the process ...