News, Vision & Voice for the Advisory Community


The quick and easy route to getting your RIA license suspended

Renewal gauntlet begins next week with a moved-up deadline

Author Zachary Gronich Guest Columnist November 6, 2009 at 5:05 AM
no description available
Zachary Gronich: Make no mistake, the annual renewals are the most important on-going compliance issue.

Gail Price

Gail Price

February 8, 2010 — 8:58 PM

I am as small CA registered RIA. I have been doing the annual filings myself, though they perhaps could be done better. I am most concerned about the possibility of an audit and whether I have the necessary records in place.

I need a low cost solution but with appropriate forms, templates, etc.
What are your typical costs for audit proofing a California RIA?


Related Moves

November 18, 2022 at 2:56 AM

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING

RIABiz Directory sponsored by:

Directory Sponsor Logo