

State-Registered RIAs: Navigating NASAA’s Proposed Marketing Rule Changes
For years, state-registered investment advisers (RIAs) have faced a unique challenge: advertising rules that put them at a competitive disadvantage…
Michelle Atlas-Quinn, J.D.

Launch Your Independent RIA with Trusted Regulatory & Business Support
Launch your independent RIA with confidence. Get expert support for RIA registration, smooth advisor transition, and business agreement review to…
Michelle Atlas-Quinn, J.D.

FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity Claim
Oct. 02, 2025 State-Registered RIAs: Navigating NASAA’s Proposed Marketing Rule ChangesSep. 26, 2025 Launch Your Independent RIA with Trusted Regulatory…
Doc Kennedy, MBA, J.D.

The High Cost of RIA Compliance Oversight: A Cautionary Tale
In the world of financial advising, trust and regulatory compliance are non-negotiable. Yet even with the best intentions, a single…
Michelle Atlas-Quinn, J.D.

CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Has an unproven BrokerCheck claim hurt your reputation? The CFP Board agrees the data is flawed. Discover how to challenge…
Doc Kennedy, MBA, J.D.

Why a “Dismissed” Claim Isn’t Enough: A Virginia Advisor’s Fight to Expunge His BrokerCheck Record
Oct. 02, 2025 State-Registered RIAs: Navigating NASAA’s Proposed Marketing Rule ChangesSep. 26, 2025 Launch Your Independent RIA with Trusted Regulatory…