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Expert Advice
ADV season comes around each year like clockwork, often bringing the same kinds of questions and potential headaches. Every Registered Investment Adviser (RIA) is required to file their Annual ADV amendment within 90 days of their fiscal year end.
How will you make yourself more compelling against much of your competition? This column from Bruce Frumerman posits three recommendations.
Every year, the National Society of Compliance Professionals hosts a two-and-a-half-day conference providing a wealth of educational and networking opportunities.
Observations for money management firms relating to the importance of marketing the beyond-the-numbers intellectual acumen of the portfolio manager when selling investment products to institutional investors has resurfaced in the form of a new survey report of that very group of investors and their investment consultants.
In 2024, the SEC adopted amendments to Regulation S-P. This is the rule that requires investment advisors to have written safeguards in place to protect client information and provide those clients with a written privacy notice.
Column By Meghan Sundquist, Compliance Associate, SEC Compliance Solutions LLC
By Bruce Frumerman, CEO, Frumerman & Nemeth Inc.
For smaller firms, the real challenge isn’t performance. It’s getting noticed. Allocators already have a long list of viable candidates. Why should they make room for one more?
Asset management firms seeking growth will need to have an “AI strategy reckoning” at some point. And sooner is much better than later.
Becoming a skillful educator benefits not only your firm’s employees, but it also improves your understanding of the material as well as your communication skills.
We kick off the year with our annual Emerging Manager Program special report.