Brooke Southall

Concerned that our desire for scale recreates some of the negative aspects of the BIG firms we have either left or are competing against for business.

As RIA compliance complexity explodes, two big outsourcers merge to keep pace 

Ken Kaltman: Big is better for the client

MarketCounsel

National Compliance Services

Regulatory Compliance

Ken Kaltman

Robin Mohapatra

Rita Dew

The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.

The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.

RIA Compliance

National Compliance Services Inc. is a biggie with smaller RIAs and Regulatory Compliance LLC already provides ultra-handholding that firms increasingly demand

As RIA compliance complexity explodes, two big outsourcers merge to keep pace

Jeff Spears

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As RIA compliance complexity explodes, two big outsourcers merge to keep pace

Jeff Spears

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