Monthly Archives: August 2014

Are you Prepared for a Compliance Exam? Free webinar – second session added

August 21 date SOLD OUT – Second session added – August 26 As the U.S. Securities and Exchange Commission (SEC) ramps up its examination of Never-Before-Examined investment advisers, now is the time for Registered Investment Advisors (RIAs) to prepare their firms … Continue reading


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The SEC has increased focus on valuation of non-traded assets.  If you have any non-traded assets in client portfolios that you bill on, be sure to have a policy on how you value these assets.  I suggest a conservative, written … Continue reading

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