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Key IT Factors for Los Angeles RIAs to Consider Before Moving

Posted by Craig Pollack on Nov 28, 2016 8:30:00 AM

Whether your Los Angeles Investment Advisory firm is moving to a new floor within your building or across town, the key to making the move successful is in investing time into careful IT planning BEFORE the move starts.

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Topics: General Business Owner Articles, Investment Advisor Articles

The SEC to Require Social Media Disclosures on Form ADV

Posted by Craig Pollack on Oct 25, 2016 8:00:00 AM

As we all know, Registered Investment Advisors have long been required to register with the Securities and Exchange Commission using the Form ADV. But starting next year, RIAs will have to address the latest requirement added - to report their use of social media accounts on their Form ADV.

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Topics: Investment Advisor Articles

5 Ways LA Investment Advisors Can Improve Their Technology

Posted by Craig Pollack on Oct 20, 2016 7:42:00 AM

I think you’d agree - technology for technology’s sake is rarely the best approach.  But, done the right way, technology can help your investment firm operate more effectively and efficiently ultimately impacting not only your investment performance but also the quality of service you deliver to your clients.

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Topics: Investment Advisor Articles

6 Ways LA Investment Advisors Can Prevent Data Leakage

Posted by Craig Pollack on Oct 18, 2016 8:35:00 AM

In your role as an LA Investment Advisor, you handle so many different types of sensitive data on a daily basis that it may be a struggle to keep up. Controlling the data and ensuring its security is vital, as a security breach or “data leakage” could prove catastrophic for the reputation of your business. And as we all know, for a service business your reputation is everything.  So, how do you prevent such an eventuality?

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Topics: Investment Advisor Articles

7 IT Habits of Highly Successful LA RIAs

Posted by Craig Pollack on Oct 14, 2016 9:00:00 AM

Some of the most successful Registered Investment Advisors in Los Angeles have key components in common with the most successful RIAs located anywhere in the country. Naturally, security, compliance, and operational efficiency are always most top of mind.  But, there are none more important nor as impactful as how they view and run their technology.

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Topics: Investment Advisor Articles

4 Common Mistakes LA Investment Advisors Make on IT Disaster Recovery Plans

Posted by Craig Pollack on Oct 12, 2016 8:08:00 AM

Although an IT disaster recovery plan is a critical aspect of doing business in today’s digital age, many LA investment advisor firms make mistakes during the planning and implementation phases. Some of these errors can be attributed to avoidance.

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Topics: Investment Advisor Articles

Remote Access Best Practices for LA Investment Advisors

Posted by Craig Pollack on Sep 19, 2016 8:30:00 AM

The world of investment is always moving, growing, and changing. And many times, remote access is just the next stepping stone in the natural progression of leveraging technology in new and meaningful ways that aids you as your firm grows. It’s flexible, scalable, and makes it possible for you to access your client data no matter where you are, as well as connecting colleagues in different offices with ease.

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Topics: Investment Advisor Articles

The Advantages LA Investment Advisors Gain By Moving To Office 365

Posted by Craig Pollack on Sep 15, 2016 8:30:00 AM

As a busy Investment Advisor your days are no doubt filled with all sorts of portfolio management, trading, and operational activities. And being responsive and keeping up with your communications is usually on top of your productivity list.  Regardless of how your firm’s running its core office and communications system, do you ever wonder if there’s something out there that could offer more?

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Topics: Investment Advisor Articles

5 Hidden Costs When Moving Your RIA To The Cloud

Posted by Craig Pollack on Sep 12, 2016 8:00:00 AM

Cloud-based services are rising in popularity, giving Investment Advisors the opportunity to store a wealth of information (pun intended) across an expanding network and giving access to data and information whenever and wherever they choose. Such a network is invaluable when your need to access it from various locations, have a disparately located workforce, or work at non-standard business hours are key to your success.

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Topics: Investment Advisor Articles

6 Things the SEC Looks for When Assessing an RIA’s Security

Posted by Craig Pollack on Jul 28, 2016 8:30:00 AM

Created by US Congress to ensure that financial markets are secure and that the interests of investors are being protected, the Securities and Exchange Commission (SEC) may already have visited your RIA firm. If you’ve received an audit, you’ll be well aware of what the SEC is on the lookout for. If you’ve yet to be audited, the idea may fill you with dread. 

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Topics: Investment Advisor Articles

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