Columns

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.

SEC exams are an inevitable component of a Registered Investment Adviser’s (“RIA”) existence, and we have found that CCOs can reduce the stress associated with a potential exam if they know what to ex­pect.

In a 2020 EMM article, we explored how consultant consolidation was creating significant challenges for emerging managers. Today, we revisit this issue to assess what has changed and offer updated strategies to navigate this evolving landscape.

By Stephanie Henwood-Darts, COO & Managing Partner, Phoenix Fund Services

By Sam Carralejo, Compliance Manager, SEC Compliance Solutions