AdvisorAssist

09/22/2022

The AdvisorAssist team is very excited about our expanded partnership with Merchant and the additional resources we can now provide to our clients. We'll soon be sharing more!

AdvisorAssist, LLC, the independent wealth management industry’s leading regulatory, compliance and business risk management consulting firm, announce

01/31/2020

“911—what’s your emergency?” “Hi, I . . . uh . . . I work from home.”

10/17/2019

Thanks for the heads up Work Local team! We'll see you at the office.

05/22/2019

Friends who are business owners: FREE cyber security seminar 5/28 at 6:30pm at Work Local. Sign up!

Cyber security threats are a constant challenge to any organization. Come learn how to identify, protect, and respond to various threats such as hackers, phishing, whaling, fake social media profiles, and insiders. You will be able to take what you learned to train your employees to be a first line....

11/12/2018

2019 Annual Renewal Season has begun! Today preliminary renewal statements for are available. Payment is due by 12/17. Need assistance?? AdvisorAssist can help you through the entire process of the registration analysis, ADV updates, and renewal processing.

11/08/2018

SEC settlement centered around the fact that the CEO did not take appropriate action to rectify inadequate resources to effectively implement the compliance program: Full details here:

10/08/2018

Please check out our recent article in Investments & Wealth Monitor for best practices on how to prepare for a regulatory examination through a mock exam!

09/20/2018

AdvisorAssist names former SEC commissioner Troy A. Paredes to new Advisory Board. AdvisorAssist has also aligned through a strategic capital partnership with Merchant, and named Merchant’s & David Mrazik to the Advisory Board.

AdvisorAssist, LLC has formed a new Advisory Board that will include former SEC Commissioner Troy A. Paredes.

03/21/2018

Did you hear? 5th Circuit Court ruled via split decision to "vacate" the DOL rule. This opens the door for the SEC to create a uniform fiduciary standard for both RIAs and broker dealers. More info in our recent post:

5th Circuit Court Vacates DOL Rule.

03/02/2018

With diligent planning and ex*****on, you can still make a safe transition from a non-protocol firm!

Advisors refuted insinuations that they took confidential data from office and told customers about their plans to move to a Raymond James unit hours before they resigned. Read More

02/27/2018

Do you know how your advisory fees are being calculated? Many don't know whether interest, cash balances and dividends are being included in the advisory fee calculation, which may result in a higher fee!

SEC examiners will pay closer attention to the fees that retail investors are paying to advisors as well as the disclosure and calculation of those fees.