RIA in a Box @riainabox
We help financial advisors start their own RIA firms and maintain regulatory compliance with our award-winning software and team of on-call former regulators. riainabox.com New York, NY & Cleveland, OH Joined July 2012-
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To help RIAs remain vigilant, we've created an infographic outlining a few common tips on how RIA firms can help protect against ransomware attacks. Download now. riainabox.com/resources/how-…
To ensure you avoid deficiencies, you must take a proactive approach to your compliance practices. To help, we’ve assembled our top 10 compliance best practices your RIA firm can use to improve your compliance. Download our infographic. riainabox.com/resources/best…
The RIA segment is the fastest growing channel in the investment management industry, and for good reason. Trying to decide if starting your own firm makes sense? Download our complimentary whitepaper. riainabox.com/resources/whit…
Hear from industry experts as they keep you up to date on the latest regulatory developments and practice management topics. Subscribe now! okt.to/KCfz5c #RIAcompliance
When it comes to investing in new #RIAcompliance solutions, your firm will likely have some due diligence questions to ensure your investment is worth every penny. To help out, we’ve gathered our top five frequently asked questions. riainabox.com/resources/blog…
To remain compliant with state and federal regulations, RIA firms must adhere to various record retention rules and requirements. This guide provides an overview of industry recordkeeping requirements. Download now. riainabox.com/resources/whit… #RIAcompliance
#Cybersecurity is an increasingly important focus area for the #SEC. This visual guide outlines cybersecurity tips and best practices that can help your firm and employees to remain vigilant and reduce risk of a security breach. Download now. riainabox.com/resources/top-…
We are excited to announce that our Q1 2023 Client Advocate of the Quarter is Jeffery Fedor! We are so proud to have you on our team. Keep up the great work Jeffery!
COMPLY announced three strategic points of integration between RIA in a Box’s MyRIACompliance and the Advyzon platform. Now, users of both platforms are able to take advantage of: ✔13F Form Filing. ✔Compliance Calendar. ✔Trade Monitoring. Learn more. okt.to/UVvIXT
RIA firms have become a popular target for cyber attackers. It is imperative to ensure your staff is properly trained on how to identify a potential phishing scam. We created this checklist of best practices to help RIAs protect data. Download now. okt.to/OH1e2d
Arm your firm with the technology and knowledge you need to defend against potential cyberattacks with RIA in a Box’s comprehensive #cybersecurity and vendor due diligence solutions. Schedule a demo today. okt.to/og91ME
Our staff of former regulators has conducted hundreds of regulatory exams throughout their careers and has complied some basic steps to help your investment advisory firm be better prepared for your next regulatory audit. Download the checklist today. okt.to/T9PVN7
Compliance errors can have consequences on the revenue and reputations of RIAs. One tool in your toolbelt to help mitigate risks? An RIA risk assessment. To help, we’ve outlined the purpose of a risk assessment, as well as tips for a fruitful assessment. okt.to/gKFUQl
With new rules directing compliance requirements, professionals are tasked with meeting every challenge flawlessly. To help, we've created "By the Numbers: A Compliance and Regulatory Technology Analysis for the Financial Services Industry". Download now. okt.to/QlYyZt
For many RIA firms, there is no greater risk than the potential theft or exploitation of sensitive client information. To help, we created a complimentary checklist outlines 10 steps to help RIA firms properly address cybersecurity threats. Download now. okt.to/weChlP
The MyRIACompliance Communications Archiving and Review solution enables RIA firms to store, retrieve and filter communications all within a single platform. Speak to an expert today. okt.to/V5n80u #compliancesolutions #RIAcompliance
Stay up to date on the latest RIA compliance, operations and technology topics. Subscribe to our emails today! okt.to/KGB4m6 #RIAcompliance #RIAtechnology
📢📢📢 BREAKING NEWS! The new RIA in a Box website has officially launched! Visit our new website to learn how we can deliver the best-fit solution to meet the unique needs of your #RIA firm. okt.to/fC9DWe
2023 is here, and with it comes new challenges. To ensure you avoid fines, you must take a proactive approach to your compliance practices. We’ve assembled our top compliance best practices your firm can use to improve your compliance. Download now. okt.to/54kgQx
Third party vendor due diligence is one of the most critical cybersecurity compliance challenges that RIA firms face today. Discover how the RIA in a Box can help you diligently maintain your firm's security. Learn more. okt.to/QZRu0V #RIAcompliance
Max Schatzow @AdviserCounsel
6K Followers 1K Following Counsel to RIAs, BDs & fund managers on registration, compliance, and enforcement issues. Husband, dad x2, dogdad, beer, ball sports, bikes, fiat.
WealthManagement.com @wealth_mgmt
58K Followers 3K Following https://t.co/axJ523fsPZ is the digital resource of all things wealth management for financial advisors and estate planning professionals.
Caroline Gaynor @carolinebikes
2K Followers 1K Following 10 x IRONMAN guide for blind triathletes. 2 x RAAM team finisher. Day job: Avantis Investors. Evening job: toddler mom and Parkinson’s caregiver.
Financial Planning @finplan
80K Followers 1K Following News, analysis, insights and data for financial advisors
Bill Winterberg, CFP�.. @BillWinterberg
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Marie Swift @marieswift
8K Followers 2K Following Marie Swift is a PR and Marketing professional serving the financial services industry: More at https://t.co/ODJ0THj1MQ and https://t.co/FsnhHa1Al6
LPL Financial @LPL
25K Followers 2K Following We take care of our advisors, so they can take care of their clients. Follow @LPLResearch for market guidance. Member SIPC https://t.co/0fRATJzMtL
Cheryl Nash @cherylnash2
3K Followers 2K Following Chief Customer Exec InvestCloud Advocate for #wealthmanagement #wealthtech #fintech #womeninwealth #diversity #Blacklivesmatter Views are my own
Tina Powell @tinacpowell
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InvestmentNews @investmentnews
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Dz Roberts @DzRoberts
716 Followers 763 Following Indiana University • Harvard • 💖Alpha Kappa Alpha💚
Dominic Jenkins @dominic33888
6 Followers 189 Following Advisors come to us when they want to partner with CPAs.
Pat Briskey @PatBriskey
316 Followers 640 Following Investment firm owner, father, and husband. Unaffiliated with any political party. Ice cream parties are less stressful.
Basil Alsikafi @Balsikafi
511 Followers 414 Following Mentions are not investment advice. University of Chicago & Kellogg Alumn. https://t.co/7jIc8ZS0BL
McDekne @MDekne97625
156 Followers 1K Following
Secureslate @secureslate
296 Followers 2K Following The ultimate security & privacy compliance automation platform trusted by many! Get SOC 2, ISO 27001, HIPAA & GDPR ready in no time.
Joe Moss @joemoss_xyz
274 Followers 741 Following The RIA Tech & Marketing Guy | Community builder at ProAdvisorSuite & Conneqtor | Join my free community ⬇️
AFS @FLACSFDZ
78 Followers 843 Following
Live Responsibly @yvonnemylb
9 Followers 4 Following ▪️A chameleon, I AM many things at different points in my life. ▪️Goal ahead ▪️#GodNeverForgets
Johnnie Whiting @johnniewhiting
1 Followers 203 Following
Meg MacDougal @meglizmacD
285 Followers 3K Following Reader, writer, subscriber of too many magazines. ATX to NYC, and back again. Head of Comms, Kestra Holdings (https://t.co/6McEcpGO5k)
Sam Varano, CFP®, AI.. @samvaranocfp
122 Followers 938 Following Founder and president of Cypress Wealth Partners. Certified Financial Planner™ who’s passion is helping clients feel more confident about their decisions.
DataPoints @DataPts
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SlaveofChrist @Reformed4Christ
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coxcapitalpartners @coxcapitalptnrs
206 Followers 556 Following We provide secondary liquidity for non-traded alternative investments. Tweets do not constitute investment advice.
RM @roost3r05
190 Followers 524 Following
Jon Stroh CFP® @FiduciaryRIA
11 Followers 25 Following Fiduciary Financial Adviser with Capital Management Associates SEC Registered Investment Adviser
AdviserCyber @_AdviserCyber
5 Followers 18 Following Avid SEC Cybersecurity regulation junkies and compliance officer cybersecurity heroes. Need to comply with SEC cybersecurity regulations? We can help.
Dave Chenet @DWillChenet
48 Followers 417 Following
GANESH Prasad @GANESHP16851360
107 Followers 2K Following
John Cox @JohnCoxCap
328 Followers 883 Following CEO & Founder of Cox Capital Partners (@coxcapitalptnrs) | Liquidity Provider | Rec. Poker Player | Tweets are not investment advice
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Chris @moneynotesblog
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Joe Anthony ~ Financi.. @joeanthony
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etfeasy.com @NilaySh76742286
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Corey Merrills @CJMerrills
92 Followers 595 Following Professional fireman. Founder of Merrills Financial, LLC. Follow along as I build out my own fee only financial planning firm for Mid-Atlantic firefighters.
Josh Williams @t4_theinvader
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Jonathan Bowen - Prim.. @JonAtPrimerica
233 Followers 1K Following I'm a Representative with Primerica and PFS Investments... Why do I want to help people? I lost my infant son to SIDS and, later, my father to cancer...
jamesallenhaynes @jameshaynes_
10 Followers 67 Following
benjasik @benjasik
372 Followers 2K Following Working on technology to scale climate infrastructure at @generatecapital https://t.co/XlmZMtzdxI. Views shared here are my own.
Andrew Palmasano @andypalmasano
200 Followers 780 Following
Kelly @kelly_dsgfg
38 Followers 421 Following Graduated from Stanford, became the marketing manager of Estee Lauder because of an accident, but I really like this job
CreweFoundation @CreweFoundation
208 Followers 2K Following Creating donor-advised funds to financially sustain and empower charitable organizations and charitable efforts.
FA on Double Secret P.. @piperNcedar
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Jesse Brown @jessembrown_
61 Followers 249 Following Building compliance programs for investment advisers | Private Equity and Venture Capital focus
Khris B @DjLindo2001
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scott @scott36969695
45 Followers 258 Following
Bobby Boyce @BobbyBoyce16
1 Followers 46 Following
Victor Ranilla @victor_ranilla
16 Followers 332 Following Passionate about the equity market. What’s obvious is obviously wrong. Don’t fight the tape, don’t fight the Fed. Risk comes from not knowing what you’re doing.
AdvisorX2 @AdvisorX2_com
31 Followers 274 Following
Kabir Sethi @KabsetKabir
375 Followers 468 Following Chief Product Officer, LPL Financial | Member https://t.co/f2OhzIeEUG & https://t.co/eTYvXfPSY0
Jack KOS @JackKOS4
56 Followers 438 Following Dad, husband, son, reader of books, listener of podcasts
Sam Marrella @SMarrella
101 Followers 983 Following You shoot a couple of 100's and now they call you Wilt https://t.co/VHH4KrY2XP
Parham Nasseri @ParhamNasseri
41 Followers 235 Following
MichaelKitces @MichaelKitces
86K Followers 484 Following One nerd’s perspective on the financial planning world… CFP, #LifelongLearner, Entrepreneur-In-Denial, Advisor #FinTech, & publisher of the Nerd’s Eye View blog
Aaron Klein @AaronKlein
20K Followers 419 Following Husband and Dad to your typical, average Korean-Ethiopian-American family. Co-Founder and Founding CEO at Nitrogen. Striving to live Isaiah 1:17. Love Idaho.
WealthManagement.com @wealth_mgmt
58K Followers 3K Following https://t.co/axJ523fsPZ is the digital resource of all things wealth management for financial advisors and estate planning professionals.
Financial Planning @finplan
80K Followers 1K Following News, analysis, insights and data for financial advisors
Bill Winterberg, CFP�.. @BillWinterberg
24K Followers 11K Following Financial/wealth technology strategy. Content producer. Pinball player. Road trip connoisseur. Former homeschool dad @LeapFrog @HP @AdvicePay
ThinkAdvisor @ThinkAdvisor
42K Followers 1K Following The destination for news, analysis, tools, and networking advisors need to stay informed and grow their businesses. ThinkAdvisor is an @ALMGlobal_ publication.
LPL Financial @LPL
25K Followers 2K Following We take care of our advisors, so they can take care of their clients. Follow @LPLResearch for market guidance. Member SIPC https://t.co/0fRATJzMtL
Tina Powell @tinacpowell
5K Followers 4K Following Faith In God ✝️ Partner, Chief of Community @intention_ly Host🎙️In The Suite Podcast TEDx Speaker 🫁Lung Cancer Survivor #NSCLC #Exon21 #Tagrisso
Orion WealthTech @orionwealthtech
8K Followers 2K Following Power your growth and scale your business with Orion’s fully connected technology and investment solutions. https://t.co/wePQyBzEUZ
InvestmentNews @investmentnews
87K Followers 1K Following InvestmentNews is the leading source of news, analysis and information essential to the financial advisory community.
COMPLY @Comply_Org
32 Followers 26 Following At COMPLY, we pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education. We are COMPLY.
Amy Kadomatsu @amyk1313
375 Followers 516 Following Reluctant twitter user, entrepreneur, angel investor and parent with tiger mom tendencies.
COMPLYConnect @complyconnect
28 Followers 10 Following Education. Training. Industry insight. It all comes together at the COMPLYConnect Conference and Expo.
Compliance Week @complianceweek
28K Followers 679 Following The news, analysis, and information resource for the well-informed chief compliance officer and audit executive. Likes and retweets are not endorsements.
illumis, a COMPLY com.. @illumisinc
308 Followers 118 Following We help our customers use public data to enhance transparency and reduce risk.
Pat Donachie @PatDonachie
464 Followers 1K Following Staff writer @wealth_mgmt. Formerly @EdDiveK12, @TimesLedger, @CityLimitsNews. @newmarkjschool alum. Permanently fledgling musician.
ComplySci @ComplySci
427 Followers 252 Following ComplySci is a leader of regulatory compliance technology solutions that identify, monitor, manage and report on conflict of interest from employee activities.
Tracey Longo @TraceyFAMag
633 Followers 1K Following Washington Editor, Financial Advisor Magazine https://t.co/PNfIyPW8o8. Free speech absolutist.
@MESA_Berman @BermanThink
578 Followers 755 Following
Female Advisor Networ.. @female_advisors
1K Followers 175 Following Empower all female financial advisors by providing a community of support,education, mentorship,& collaboration that is for female advisors by female advisors.
Ficomm Partners @FiCommPartners
2K Followers 1K Following Ficomm is a growth marketing consultancy for results-focused RIAs, wealth management platforms, asset managers, custodians, broker/dealers and wealthtechs.
Nitrogen @NitrogenWealth
9K Followers 340 Following The growth platform for wealth management firms. Makers of Riskalyze. Helping financial advisors empower the world to invest fearlessly since 2011.
White Glove @_white_glove
580 Followers 1K Following Helping growth-minded financial professionals attract, connect and engage with clients and new leads.
cleverDome @cleverdome
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Sean Allocca @theseanscoop
825 Followers 581 Following EIC at @etfcom | Former: @InvestmentNews, @finpan, @CFO editor. Hates mushrooms, loves mushroom ravioli. [email protected]
Jessica Mathews @jessicakmathews
6K Followers 2K Following Writing about unicorns and venture capital @FortuneMagazine. Bad at Twitter. Tips: jessica.mathews(@)https://t.co/pOVJmE50EG | DM for Signal
Snappy Kraken @SnappyKraken
5K Followers 3K Following A complete digital marketing system for financial advisors who care about meaningful connections.
Chelsea Emery @chelsea_emery
2K Followers 1K Following Executive editor at @SIADailyNews. Formerly @Finplan, @BBC_Capital, @Reuters, @Bloomberg. Rabid reader. Always editing.
ROBERT SOFIA @robertsofia
12K Followers 7K Following CEO @SnappyKraken | Helping financial advisors drive growth with better marketing and branding 🚀 | Some DIY 🛠 gardening 🌱and dad 👨👩👦 stuff too
Morningstar, Inc. @MorningstarInc
203K Followers 714 Following We are a leading provider of independent investment research. Our mission is to empower investor success.
Whitney Petersmeyer @wpetersmeyer
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Your e Folio @yourefolio
629 Followers 517 Following The only comprehensive advisor-driven estate and legacy planning software designed to create simplicity for advisors, their clients and their beneficiaries
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412 Followers 221 Following A unique accelerator and innovation outpost that attracts global fintech startups and connects them with the top financial services companies in the world.
DeVoe & Company @DeVoeCo
1K Followers 450 Following DeVoe & Company provides consulting, M&A and valuation services to wealth managers.
Tobias Salinger @TobySalFP
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Megan Carpenter @megan_ficomm
3K Followers 1K Following CEO @FiCommPartners. Here to help you win more business by creating meaningful connections. Passionate about all things New Skool.
FPA Houston @FPA_Houston
234 Followers 181 Following Financial Planning Association of Houston - Promoting and advancing financial planning to members and our local community.
John Anderson @SEIJohnA
2K Followers 2K Following SEI #finserv veteran focused on @SEIAdvisors Practice Management. Insights delivered w/ midwestern practicality. Dad to Jace and Kade https://t.co/FgcSMOY1z7
AndrewShilling @AndrewWShilling
760 Followers 260 Following Commerce Editor at @MarketWatch. Previously with @arizent, @finplan, @queensledger and @patchtweet. @VCU alum. DM with tips. RT/follow/likes≤endorsement
Maggie McGrath @mcgrathmag
9K Followers 323 Following I say wooder, not waah-ter. @ForbesWomen editor; using this thing less but am @mcgrathmag on all other socials (let's see which one sticks!)
Bonnie Treichel @btreichelesq
826 Followers 801 Following Helping retirement plan advisors save time, manage risk + secure new business | 401k | 403b | ERISA
Knut Rostad @CmtForFiduciary
181 Followers 59 Following We believe the fiduciary standard should be included in financial reform legislation and rulemaking and apply to all who provide investment or financial advice.
Ed Gjertsen II, CFP® @EdGjertsenII
852 Followers 326 Following Founder Fee-Only firm Engage Wealth Group, Past National President Financial Planning Association, Certified Financial Planner
John Waggoner @JohnWaggoner
13K Followers 6K Following Personal finance writer. Friend of the American people. . Opinions strictly my own.
FPA of Puget Sound @FPAPuget
191 Followers 35 Following To advance the financial planning profession.
FPA of Fairfield CT @FPA_FairfieldCT
119 Followers 32 Following The Financial Planning Association of Fairfiled County connects those who need, support and deliver financial planning in Southern CT.
FPAOrangeCounty @fpaorangecounty
229 Followers 138 Following The leading community that fosters the value of financial planning, while also advancing the practice and profession of financial planning
ShepherdFPA @ShepherdFPA
36 Followers 39 Following Shepherd University's FPA Student Chapter is interested in educating students about Financial Planning. #RFPP
FPA San Diego @fpasandiego
58 Followers 11 Following
Northern New England @TheFPANNE
123 Followers 71 Following The FPA® is the community that fosters the value of financial planning, and advances the practice and profession of financial planning.
FPA New Jersey @FPANJ1
306 Followers 278 Following
Corey Kupfer @coreykupfer
2K Followers 4K Following Deal-maker, Attorney, #Author, #Speaker, and #Founder of the #DealQuest podcast! Listen to an episode, share it, and tag me to win a copy of my book for #FREE!
Scott Conroy @scttconroy
1K Followers 1K Following Managing Partner, Consulting, Training, and Service @carsongroupllc
Matthew Enyedi @yedi31
3K Followers 1K Following Managing Director Business Solutions, LPL Financial Member SIPC https://t.co/1GMBpYeXvW
KVP @KyleVanPelt
3K Followers 342 Following CEO of @milemarkerco. Helping the financial industry drive their data. I like ☕️⛳️🏈⚾️.
We’re looking forward to an engaging discussion!
Join us on Thursday, Nov. 30, as #compliance and technology experts from RIA in a Box and @InvestorCOMInc discuss: ✔ Regulatory challenges related to Reg BI & PTE 2020-02. ✔ How firms can prepare. ✔ Intro to the RolloverAnalyzer, PeerCompare and more. okt.to/ZAKXQ4
Important point by @riainabox: you know the SEC will audit your RIA at some point, so there is no reason not to be prepared. "If you attempt to prepare for an audit after you receive the notice from the SEC, you are far too late." @investmentnews investmentnews.com/5-questions-ad…
Important point by @riainabox: you know the SEC will audit your RIA at some point, so there is no reason not to be prepared. "If you attempt to prepare for an audit after you receive the notice from the SEC, you are far too late." @investmentnews investmentnews.com/5-questions-ad…
Nice article by Jason Vinsonhaler of @riainabox He notes that, "For 2022, the [SEC's] areas of focus are private funds, ESG investing, information security, cryptocurrency, and standards of conduct.” @ThinkAdvisor thinkadvisor.com/2022/08/05/wha…
Nice article by Jason Vinsonhaler of @riainabox. He notes that, "For 2022, the [SEC's] areas of focus are private funds, ESG investing, information security, cryptocurrency, and standards of conduct.” @ThinkAdvisor thinkadvisor.com/2022/08/05/wha…
Nice article by Jason Vinsonhaler of @riainabox. He notes that, "For 2022, the [SEC's] areas of focus are private funds, ESG investing, information security, cryptocurrency, and standards of conduct.” @ThinkAdvisor thinkadvisor.com/2022/08/05/wha…
To our team, clients and peers, we wish you a great Labor Day! #laborday #happylaborday #labordayweekend
We can't wait for Retired U.S. Navy Four Star Admiral McRaven to join us! Admiral William H. McRaven is a recognized national authority on U.S. foreign policy and former head of Special Operations Command. Register today and save your seat! okt.to/r2lKN4
Ready to see what ComplySci can do for you? Schedule a demo today! okt.to/8PphV5 #complysci #compliancetechnology #compliancetechnologypartner
Great advice from @riainabox on how to spread your firm's compliance annual review across the entire year. @finplan financial-planning.com/news/how-finan…
Compliance tech provider @riainabox unveils a way for investment advisors to meet their continuing education requirements as mandated in a model rule by the @NASAA. | @PatDonachie wealthmanagement.com/regulation-com…
Great advice from @riainabox on how to spread your firm's compliance annual review across the entire year. @finplan financial-planning.com/news/how-finan…
Great advice from @riainabox on how to spread your firm's compliance annual review across the entire year. @finplan financial-planning.com/news/how-finan…
If you are at #MICUS, come visit the Tech Partners. @KarynLynnDeJong & @KatieABraden explain why. @Wealthbox @AssetMapLLC @RightCapitalHQ @truelytics1 @riainabox @RedtailCRM @Pontera @4UPlatform @lumafintech
@riainabox So important and no better than RIA in a box! @riainabox
“It’s impossible to conduct a true annual review in a day or two,” says @riainabox’s Chris DiTata. trib.al/Wj9nU3a
Not sure what audits you could be subject to in the coming months? Check out the top three you need to be aware of as an #RIAfirm ⬇️
What are the top three audits an RIA firm needs to know about? 1. Routine Inspections 2. For Cause Inspections 3. Sweep Examinations Learn more here -- hubs.la/Q017NrkD0
Grab your Americano (with or without milk) and learn about Will Bressman's perspective on #RIAcompliance and how @riainabox can help. lnkd.in/grAWSbcA
Ring the bell...we have another RIA hitting the $10bb AUM level as @SequoiaFin is set to acquire another Ohio-based RIA, $1.7bb NCA Financial Planners. Story by @IanWenik Congrats @HaughtThomas & team. citywireusa.com/registered-inv…
@riainabox introduces a cloud-based Virtual Desktop and MyRIACompliance Dashboard for RIA firms; @WellsFargo turns to @Azure and @googlecloud for its new digital infrastructure strategy: Tech Roundup: thinkadvisor.com/2021/09/16/ria…
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