SEC and State Regulators are on the hunt for cases that send a message....
Managing this risk effectively requires two components: (1) Control and (2) Transfer. Respectfully, control is...
The below chart shows 21 years of data comparing the S&P 500 against arbitration cases filed with FINRA....
The fastest growing category of mutual funds in the U.S. is a group of products called Liquid Alternatives, or Alternative Mutual Funds...
We answer with real world claim examples. Some claims we have witnessed are described below: Claim #1 - Allegation(s)...
As many begin the New Year with the formation of hopeful aspirations...
This subject may feel a bit old and tired at this juncture, but we want to look through a different lens. It has...
[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_column_text]Proverbs 4:13 informs us to "Hold on to instruction, do not let it go; guard it well, for it is your life." In navigating a successful investment advisory practice, we are wise to learn from other firms and...
[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_column_text]This month’s RIA Risk Tip addresses another common question our office receives from the RIA community: “Why should we purchase Investment Advisor E&O? –For we have yet to experience a lawsuit and/or a claim in all our history.” Great question...
A Registered Investment Advisor (RIA), axiomatically, embarks upon a career in which risk is a uniquely intensive reality, both for the client and the RIA. As is required by the profession, the prudent RIA takes measures to mitigate those risks, part of which includes...