Blake Bjordahl
Compliance Technology Expert & RIA Consultant
Blake specializes in helping RIAs implement cost-effective compliance solutions. With extensive experience in regulatory technology, he focuses on making compliance simple and automated for investment advisory firms.
Reg S-P Is in Full Effect — Necessary Documentation for RIAs and How Technology Helps
The updated SEC Reg S-P requirements are now in full effect for RIA firms of all sizes. Here is RIA Compliance Technology is helping RIAs with everything need to stay organized, documented, and immediately retrievable to demonstrate compliance when an examiner asks.
Why Fragmented Compliance Systems are Holding RIA Firms Back; and How to Fix Yours
RIA firms managing compliance across multiple disconnected platforms face documentation gaps, exam vulnerabilities, and operational drag that compound as the firm grows. Here is what consolidated compliance technology looks like for registered investment advisers.
How RIAs Automate Employee Trading Oversight and Stay Exam-Ready
RIAs automate employee trading oversight by electronically linking employee brokerage accounts, replacing paper statements, and centralizing trade review records in a single compliance platform that meets SEC Rule 204A-1 requirements.
Signs Your RIA Has Outgrown Its Compliance Technology; and What to Do About It
Growing RIA firms that rely on spreadsheets and disconnected compliance tools face increasing exam risk, documentation gaps, and operational drag. Here are the warning signs and what purpose-built RIA compliance technology looks like instead.
Why General Compliance Software Doesn't Work for RIAs; and What Does
General compliance software is built for broad industry use, not for the specific recordkeeping, supervision, and filing requirements that registered investment advisers are examined on. Here is what RIA-specific compliance technology does differently.
The Hidden Costs of Compliance Mistakes And How RegTech Can Protect Your RIA
Compliance mistakes cost RIA firms more than regulatory penalties — they trigger legal fees, operational disruption, reputational damage, and exam vulnerabilities that take years to resolve. Here is how RegTech helps registered investment advisers stay ahead of preventable mistakes.
How to Build an RIA Compliance Program from the Ground Up Using Compliance Technology
New RIA firms that launch with purpose-built compliance technology file faster, document more consistently, and enter their first examination with organized, retrievable records. Here is a step-by-step guide to building your compliance program from day one.
How RIAs Are Leveraging Technology To Amplify Growth Amid Regulatory Changes
A simplified outline of technology solutions, and practical workflows that empower RIAs to transform compliance from a cost center into a growth enabler.
Form ADV Submission Made Easy: How CCOs Are Simplifying Their ADV Filing Process
A case study and step-by-step guide of how we have seen CCOs turn their ADV filing from a week long process to one that can be done in just minutes
Quarterly Compliance: 2026 Filing Roadmap for RIAs
We break down the 2026 compliance calendar by quarter and give insight into important deadlines, the most common hurdles and some effective practices to make your life easier.
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