Click here to learn more about how our compliance technology programs will organize your compliance services You’re the founder of a Registered Investment Advisor; busy with Sales, Marketing, Operations, Compliance, and more. You probably wear many hats and jump from challenge to challenge. While business ...
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 ...