… Also available as podcast (Episode #11) Apple | Android | Spotify | Amazon Won’t I have to pay for doing my own compliance as an RIA? As your own Registered Investment Advisor (“RIA”), you will be responsible for the compliance of your...
… Also available as podcast (Episode #10) Apple | Android | Spotify | Amazon Will I officially own my own book with my own RIA? Unlike while working for one of the traditional “captive” broker/dealer firms, as your own Registered Investment...
… Also available as podcast (Episode #9) Apple | Android | Spotify | Amazon What is the minimum AUM I must have to start an RIA? There is technically no minimum Assets Under Management (“AUM”) level required to logistically start a Registered...
… Also available as podcast (Episode #8) Apple | Android | Spotify | Amazon How often will my RIA receive a regulatory exam? There are a number of risk variables involved that drive the frequency in which your Registered Investment Advisor...
… Also available as podcast (Episode #7) Apple | Android | Spotify | Amazon Do I have to get Outside Business Activities approved as an RIA? While being affiliated with a broker/dealer you are generally required to get the B/D’s permission before...
