Blake Bjordahl
Compliance Technology Expert & RIA Consultant
Blake specializes in helping RIAs implement cost-effective compliance solutions. With extensive experience in regulatory technology, he focuses on making compliance simple and automated for investment advisory firms.
2025 Compliance Trends for RIAs: How to Leverage Compliance Software Solutions
As investment markets evolve, so does the need for additional regulatory oversight. While much of the recent focus has been on what is effectively a global investment market with national subsectors, it's important to maintain sight of your core market. As a Registered Investment Advisor (RIA),
The Impact of Cybersecurity on Compliance in 2025: Why RIAs Need to Act Now
Cybercrime is estimated to cost the global economy $10.5 trillion in 2025, an increase of $7 trillion over the last decade! To put this into perspective, if this were measured as an economy, it would be the third largest in the world behind the US and China.
SEC 2025 Examination Priorities, Simplified
The SEC Division of Examinations (EXAMS) states that over the course of fiscal year 2025, they will focus their examinations on the use of artificial intelligence (AI) and emerging technologies, cybersecurity, complex products, outsourcing, private fund advisers, and compliance with new and amended SEC rules.
How To Tackle New FinCEN RIA Requirements
The Financial Crimes Enforcement Network (FinCEN) has introduced new Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) regulations for Registered Investment Advisers (RIAs). These new rules will take effect on January 1, 2026, bringing significant changes to the compliance landscape for investment advisers.
Avoiding SEC Fines With the Right Technology
The SEC dished out fines to 26 advisory firms for failure to maintain current and accurate records of electronic communications, accumulating $392.75 million and leading firms to enhance their compliance procedures.
2024 DOL Fiduciary Responsibility Rule: What it really means for RIAs and Compliance Officers
By now, you've probably seen the words "New DOL Rules" all over your inbox, news headlines, and LinkedIn feed for the last month or so. That's because the Department of Labor did, in fact, release new fiduciary rules… Unfortunately, there are about a million of them, they are hard to read, and they don't all come into play at one time…
NASAA Continuing Education for Investment Advisors
NASAA's continuing education rule ensures that IARs know current regulatory requirements and best practices. In the dynamic field of compliance, where policies and procedures constantly change, keeping up with these changes is extremely important.
Compliance Challenges Faced by Small RIAs – And What You Can Do About Them
If you're running a small RIA firm, you're likely juggling compliance alongside everything else – client work, growth plans, admin, and more. One of the biggest misconceptions in the industry is that smaller firms face lighter regulatory demands. In reality, the same complex web of rules and expectations applies regardless of your size.
How to Find the Best Email Archive Solution for You
Most people are going to tell you that email archiving is less a matter of convenience, and more an essential matter of business operations. However, we believe when it comes to compliance, convenience is an essential part of operations.
Get FREE Access To Our Simple ADV Filing Solution
ADV season is in high gear, which means you're probably getting ready for the annual ADV update due at the end of March. Spreadsheets, data dumps, custodial information can be a little overwhelming. However, there are much easier solutions to the Form ADV than the manual process you have right now.
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