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RIA Operators
1k members • Free
6 contributions to RIA Operators
10d •
Notice Filing in Florida/SEC Registered
Good morning/afternoon, All! I hope the week has been kind to everyone. Does anyone know if you just need to complete a notice filing when you're in Florida if you are registered with the SEC? Thank you.
1 like • 7d
@Theo Katsoulis thank you! We knew that but wanted to confirm. We received a letter from the Florida Office of Financial Regulation with a list of items needing to be changed and items needed. I've emailed the analyst who sent us the letter multiple times (she read all the emails) and left multiple voicemails asking this question. FINALLY, she answered the phone and received verbal confirmation since we are SEC registered we only need to complete a notice filing. Seems like she didn't want to put that in writing so I followed up with an email reiterating what she told me 🙃. Huge elephant off my plate 😁Have a great weekend.
Feb '24 •
Start Here
*It has been a while since we started this community, so we thought it is a great opportunity for everyone to reintroduce themselves! For those of you who are new WELCOME to the RIA Operators community. The goal of this community is to connect with other RIA Operators, Owners, Founders and CSA’s to learn and grow from one another. Start by checking out these links: - Classroom - Calendar - Monthly Value Calls - Work with Simplicity Ops We want this space to be a network of resources for you. So, please comment below and introduce (or re-introduce) yourself. Let us know: 1. Where are you from? 2. What type of Advisory firm do you work at? 3. What’s your biggest pain point right now in your firm? See you in the comments!
2 likes • 18d
Good Monday morning, Everyone! I work in a RIA in Estero, Florida. Prior to this I was working for Ameriprise Financial for a couple of years. Right now we are transitioning from state registration to SEC 😁Have a great week!
1 like • 15d
@John Rojas I was grateful for the experience but very happy I'm with an RIA now.
May 23 •
Books and Records
Happy Friday, everyone!😁 Looking forward to a 3 day weekend! I've been trying to get a definite time frame on how long we should keep prospect information/data. It looks like 5 years. How long do you keep prospect info if they decide not to go with your firm?? Thank you.
0 likes • May 23
@Judith Saari Thank you!
1 like • May 30
Good morning @Vineet M, they are stored in Wealthbox.
Feb 13 •
Signature Requirement
Good Thursday afternoon, Everyone! Just curious to know if you all require your clients to sign a financial plan after presenting it to your clients. My firm recently registered with the SEC and I've been trying to do some research to see if it is requirement for clients to sign but I'm not having any luck. Thank you in advance!
0 likes • Feb 25
@Bobbie Blouin thank you!!
0 likes • Feb 28
@Brian Quaranta thank you!
Sep '24 •
Smartria
Hi, is anyone else using Smartria? My firm and I just started using it. We will be registering with the SEC soon.
0 likes • Feb 5
@Nikki Whittle Thank you!
0 likes • Feb 13
@David Gilmore thank you.
1-6 of 6
@jae-hirzel-2027
I am the Director of Client Services with Finley Wealth Advisors. During my free time I enjoy boxing, scuba diving, and traveling.
Active 7d ago
Joined Feb 28, 2024
Estero, Florida
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