Decisions a C-Suite would make for Registered Investment Advisors (RIAs)
Vendor comparisons that are honest about where each tool falls short, plus a plan for doing the work yourself. Where we quote a benchmark, we show its source.
15 guides for Registered Investment Advisors (RIAs) of 1,000
Financing an RIA Book Purchase Around Quarter-End Billing
RIA fees bill in arrears off quarter-end values, so a market drop cuts revenue after payroll is spent. See how to finance a book purchase around that lag.
Ironclad vs LinkSquares for RIAs: Fee Schedules and Fiduciary Language
How registered investment advisors should weigh Ironclad against LinkSquares for advisory agreements, fee schedule consistency, and Form ADV alignment.
Diligent vs BoardPro for an RIA Built Through Roll-Ups
RIAs consolidating through acquisition face different board needs than a standalone practice. A criteria-based look at Diligent and BoardPro for that situation.
Bizee vs. Doola for RIAs: Formation Is Not Registration
Forming a registered investment advisor: why entity formation is separate from SEC or state RIA registration, custody rules, and Bizee vs. Doola compared.
Vouch vs Embroker for Registered Investment Advisor Firms
A pitfall checklist for registered investment advisor firms comparing Vouch and Embroker for E&O, cyber, and D&O coverage.
Mercury vs Relay for an RIA's Own Operating Account
A registered investment advisor doesn't hold client assets itself, a qualified custodian does. Here's how Mercury and Relay fit the firm's own operating cash.
Succession Equity at an RIA: Where Pulley and Carta Fit
RIA succession runs through junior-advisor equity buy-ins and Form ADV disclosure. Here's what that means for choosing Pulley versus Carta.
Deel vs Remote for RIAs: Supervision Doesn't Travel with Payroll
Registered investment advisors weighing Deel vs Remote for overseas hires should start with supervision and registration, not onboarding speed.
A PEO Comparison for Registered Investment Advisors
RIAs deal with regulatory background checks and fidelity bonding that sit outside a PEO. Here's what Justworks and TriNet actually add for an RIA practice.
RIAs: Why Predictable Fee Revenue Still Needs a Finance Function
AUM-based fees are more predictable than most professional services revenue. Q&A on what that means for the fractional CFO vs controller decision.
How RIAs Should Think About Financing a Succession or Buyout
RIAs have genuinely recurring AUM-based revenue, which changes the financing math. Here's a worked example around funding a founder buyout the right way.
Carta vs Forge For An RIA's Ownership Transition
Registered investment advisors face SEC disclosure and custody considerations that change how Carta and Forge should be weighed for equity liquidity.
Hiring an RIA's Chief Compliance Officer the Right Way
Pitfalls a registered investment advisor should avoid when using a search firm or executive marketplace to hire compliance or operations leadership.
Selling an RIA: What Acquire.com and Flippa Can't Do For You
How Acquire.com and Flippa compare for registered investment advisor sales, and why regulatory change-of-control requirements shape the whole process.
Optery vs DeleteMe for Registered Investment Advisors
How RIA principals should weigh Optery's automated data broker removal against DeleteMe's human-run service given Form ADV public disclosure.