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6 Things the SEC Cares About When Assessing RIA Security

If your firm already has been subject to an audit, you’re aware of what the SEC is looking for during their visits. If you’ve yet to be audited, the idea may inspire feelings of dread or concern. As scary as it may be, it’s important to understand ...

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7 Tips for Success of Prosperous LA RIAs

Some of the most successful registered investment advisors (RIAs) in Los Angeles share key traits with the most successful RIAs around the country. Naturally, areas such as security, compliance, and operational efficiency are always top of mind. ...

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5 ‘How-To’ Hints for Improving Technology for LA Investment Advisors

In one form or another, technology plays an integral role in the daily grind for any modern registered investment advisor. Having up-to-date technology can not only help your firm operate more effectively and efficiently, but it also helps to ...

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Key IT Factors for Los Angeles RIAs to Consider Before Moving

Whether your Los Angeles Investment Advisory firm is moving to a new floor within your building or across town, the key to making the move successful is in investing time into careful IT planning BEFORE the move starts. One of the first steps in the ...

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The SEC to Require Social Media Disclosures on Form ADV

The SEC to Require Social Media Disclosures on Form ADV

As we all know, Registered Investment Advisors have long been required to register with the Securities and Exchange Commission using the Form ADV. But starting next year, RIAs will have to address the latest requirement added - to report their use ...

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6 Ways LA Investment Advisors Can Prevent Data Leakage

6 Ways LA Investment Advisors Can Prevent Data Leakage

In your role as an LA Investment Advisor, you handle so many different types of sensitive data on a daily basis that it may be a struggle to keep up. Controlling the data and ensuring its security is vital, as a security breach or “data leakage” ...

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Remote Access Best Practices for LA Distributors

Remote Access Best Practices for LA Investment Advisors

The world of investment is always moving, growing, and changing. And many times, remote access is just the next stepping stone in the natural progression of leveraging technology in new and meaningful ways that aids you as your firm grows. It’s ...

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The Advantages LA Investment Advisors Gain By Moving To Office 365

As a busy Investment Advisor your days are no doubt filled with all sorts of portfolio management, trading, and operational activities. And being responsive and keeping up with your communications is usually on top of your productivity list.  ...

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5 Hidden Costs When Moving Your RIA To The Cloud

Cloud-based services are rising in popularity, giving Investment Advisors the opportunity to store a wealth of information (pun intended) across an expanding network and giving access to data and information whenever and wherever they choose. Such a ...

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What an LA RIA Should Look for When Outsourcing its Operations Desk

As a busy Investment Advisor in Los Angeles you’ll understand that there are often far better things to do than manage your own operations desk. Yes, managing your Portfolio Management System, reconciling custodial statements, and sending out your ...

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The Top 5 Habits Threatening Data Security for LA Investment Advisors

As a Los Angeles based Investment Advisor, your clients look to you to manage a significant portion, or even sometimes all, of their investment portfolios. At the same time, it goes without saying that they’re looking to you to take care of and ...

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