This post is the second entry in our Renewal Reset Series. Building on the insights from part one, we show how the data you collect for registration renewals can (and should) do double duty when updating your policies and procedures, helping you streamline your compliance efforts.

Welcome to the first installment of our Renewal Reset Series, where we unpack how annual registration renewal can be more than just a filing chore. In this opening post, we explore why renewal season is a diagnostic tool for your firm’s compliance health, setting the stage for the integrated approach we’ll develop in the posts that follow.

In this final installment of the series, we’ll break down why that’s the case, how regulators expect RIAs to handle video archives, and how to build a practical and defensible workflow — without drowning in gigabytes.

Welcome back to “The True Cost of Compliance” series. In this 5-part blog series, we’re unpacking often-overlooked factors that drive up the real price of staying compliant in the financial advisory world. In Part 4, we turn to a critical operational and regulatory mandate: integrating your CRM, digital file storage, and firm website (including client portals and marketing forms).

Welcome back to “The True Cost of Compliance” series. In this 5-part blog series, we’re unpacking often-overlooked factors that drive up the real price of staying compliant in the financial advisory world. In Part 3, our focus shifts to a seemingly technical but crucial distinction: data backups vs. data archives.

The SEC’s 2026 Examination Priorities highlight fiduciary duty, cybersecurity, conflicts, disclosures, and compliance program effectiveness. Here’s what small RIAs must know — plus practical steps to prepare.