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CFP Board Delays Fiduciary Standard Enforcement

Regulatory Audits: 4 Common Deficiencies & 11 Best Practices for Investment Advisers If you’re a legally registered investment adviser (IA), then you know the end of the year means concentrating on regulatory audits. The North American Securities Administrators Association (NASAA) 2019 IA... [...] Read more
November 15 2019
Red Oak User Conference: Bringing Customers Together In late October, we held our first Red Oak User Conference at the Omni Hotel in Austin, Texas. With the team usually on the road meeting with customers or attending... [...] Read more
Your Relationships With Solicitors Remember that time you started a new relationship, and at the beginning, you thought it was ok not to disclose your previous relationships? Then as things became serious, you were... [...] Read more
Why Filing Your Forms in a Timely Manner, Matters. Let’s face it; form filing isn’t likely to be voted the most exciting task to do in your firm. Due to frequent changes within the organization and its employees, filing... [...] Read more
Dually Registered IA & Brokers Dealers: A Common Combination, But Is It In the Best Interest of Clients? Dually registered investment adviser/broker-dealers are fairly common in the industry. This type of arrangement allows for the registered entity to offer both transactional and fee-based services, theoretically, based on the... [...] Read more
September 27 2019
A Special Opportunity: How an Investment Adviser Defrauded Clients Due to the high level of trust clients place in Investment Advisers, the fiduciary duty of an Adviser can’t be overstated. That’s why when we hear about an Adviser purposefully... [...] Read more