Is Your RIA Practice Being Audited?

Having an audit by state or federal regulators can be a harrowing experience for any RIA practice regardless of the firm’s size. While you have no control over whether or when regulators will show up at your firm’s doorstep, being prepared will help the audit go smoothly. Part of being prepared involves having the right…

Socially Responsible Investing and Scoring Portfolios

With Socially Responsible Investing (SRI) continuing to gain popularity, offering SRI within your portfolios will meet the demands of investors looking to ‘do good’ for others. Now, as COVID-19 continues to change our values, socially responsible investing is helping to address the inequities in our society. Throughout the last decade, socially responsible investing has grown…