Golsan Scruggs 2018 RIA Risk Survey Results

Golsan Scruggs distributed its third bi-annual 2018 RIA Risk Survey to approximately 8,000 independent Registered Investment Advisors throughout the United States by electronic survey from March 2018 through August 2018. The purpose was to determine what areas of risk are collectively perceived as concerning, significant and central to a U.S. based Registered Investment Advisory operation.

Cyber/Data Privacy concerns once again topped the list followed closely by Regulatory Compliance issues. As RIAs have largely transitioned to cloud computing and are increasingly on the radar and under the microscope of the SEC it will be interesting to see how these two categories of risk evolve and impact RIA firms in the years ahead.

Click the button below to view the detailed results of our 2018 RIA Risk Survey.

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As always, Golsan Scruggs remains available to the RIA community concerning these technical yet valid exposures.

Golsan Scruggs is an insurance brokerage firm operating throughout the United States specializing in investment advisor E&O errors & omissions insurance (aka professional liability insurance) for RIA registered investment advisors.. As one of the largest insurers of RIA firms in the U.S., we have a dedicated staff that understands the risks of the financial services industry and delivers superior results.  We make the underwriting process painless.

At Golsan Scruggs, we believe it is incumbent upon us to earn the right to be appointed as your insurance and risk-management agent. Our RIASURE process exists to serve that purpose.

Our RIASURE Review will analyze your fiduciary exposures, provide rate details and comparisons, and provide a contract comparison. No application required.

To obtain your complimentary RIASURE Review, please provide the following information or contact us at (800)273-5883. Fields marked with * are required.

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