Blog
Compliance tips, regulatory updates, and product news for RIAs.
Investment Adviser Fiduciary Duty: Rules & Compliance
What the RIA fiduciary duty of care and loyalty require under the Advisers Act, and how a compliance program proves both, with SEC primary sources.
Text Message Archiving for Financial Advisors (iMessage)
What SEC and FINRA rules require for archiving advisor text messages, why iMessage is the hard channel, and the four ways firms stay compliant.
RegFin vs ACA ComplianceAlpha: Which Fits Your RIA? (2026)
A RegFin vs ACA ComplianceAlpha comparison for RIAs: where ACA's platform-plus-consulting model leads, and where RegFin's AI-first platform fits.
RegFin vs Red Oak: Point Solution or Full Platform? (2026)
Red Oak is a specialist advertising-review platform; RegFin is a full RIA compliance platform. A sourced comparison to help you choose.
RegFin vs Luthor: Compliance Software or a Fractional CCO? (2026)
A balanced RegFin vs Luthor comparison for RIAs: where Luthor's AI content review and fractional-CCO model lead, and where RegFin's software fits.
How Much Does RIA Compliance Software Cost? (2026)
Consultants run $8K-$15K a year, outsourced CCOs $30K-$125K, and no compliance software vendor publishes a list price. The four pricing models, explained.
Compliance Software for RIA Consultants (2026)
How consulting practices run multi-client RIA compliance on one platform: firm templates, task distribution, escalation queues, and documented recommendations.
Best RIA Compliance Software 2026: 8 Compared
Eight RIA compliance platforms compared for 2026: RegFin, COMPLY, Smartria, Hadrius, and more, with every mark sourced to the vendor's own site.
RIA Annual Compliance Review: 2026 Checklist and Guide
How to run and document the Rule 206(4)-7 annual compliance review: risk assessment, testing, findings, remediation, and what the 2024 vacatur changed.
RIA Email Archiving Requirements: SEC vs. FINRA
What RIAs must archive under Rule 204-2 (email, text, social), how the broker-dealer rules (17a-4, FINRA 4511) differ, and why WORM satisfies both.
Regulation S-P: What RIAs Must Do Now (2026 Guide)
Regulation S-P explained for RIAs: the 2024 amendments, incident response programs, the 30-day breach notice clock, vendor oversight, and SEC exam expectations.
AI Compliance Software for RIAs: 6 Tests to Run
How RIAs should evaluate AI compliance software: source citations, corpus currency, firm-policy grounding, audit trails, human-in-the-loop, and red flags.
RIA Compliance Consultant Costs & Services (2026)
What RIA compliance consultants cost in 2026: $8K-$15K/yr consulting retainers, $30K-$125K outsourced CCO, and when software covers the same ground.
SEC Marketing Rule Explained for RIAs (2026 Guide)
The SEC Marketing Rule (206(4)-1) explained: advertisements, testimonials, performance requirements, the 2025-26 staff FAQs, and what examiners are finding.
The RIA Compliance Checklist (2026)
A CCO-ready RIA compliance checklist for 2026: annual review, Code of Ethics, books and records, Form ADV, Marketing Rule, custody, Reg S-P, and deadlines.
RIA Compliance: A Complete Guide for 2026
A CCO's guide to RIA compliance: the Advisers Act, Rule 206(4)-7, the Marketing Rule, Form ADV, books & records, custody, Reg S-P, and SEC exams.
What Is RIA Compliance? A Plain-English Primer
What RIA compliance means in plain English: the Advisers Act duties every registered investment adviser owes, who enforces them, and where to start.
RIA Compliance Requirements: What Firms Must Do
A CCO's guide to RIA compliance requirements: policies, annual review, Code of Ethics, Form ADV, the Marketing Rule, and the 2026 deadlines tying them together.
How AI Is Changing RIA Compliance: Real vs. Hype
Where AI earns its keep in RIA compliance: communication surveillance, regulatory research, document review. What's real, what's hype, what to ask vendors.
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