Venturis Solutions, Paul Mallory Investment Advisory Agreements Putting together an advisory agreement with clients is one of the most important parts of a registered advisory firm. It is a contract, an agreement between you (the advisory firm) and your customers.... Aug 11, 2025
Venturis Solutions, Paul Mallory What's In A Name? Fee Only or Fee-Based? In a famous passage of William Shakespeare’s Romeo and Juliet , we are asked “What’s in a name? That which we call a rose / by any other name would smell as sweet.” Words and nomenclature have power a... Jul 31, 2025
Venturis Solutions, Paul Mallory Investment Advisor Custody - An Introductory Overview In the investment advisory world, the term "custody" refers to the safeguarding of client assets. Investment adviser custody is a critical aspect of an RIA's compliance program as it ensures that clie... Jun 12, 2025
Venturis Solutions, Paul Mallory The SEC's Marketing Rule FAQs In December 2020, the Securities and Exchange Commission (SEC) released the Marketing Rule, which replaced the advertising and solicitation rules. From the time of its November 2022 official deadline,... Jun 6, 2025
Venturis Solutions, Paul Mallory Towards A Cybersecurity Protocol While there is no “cybersecurity rule” for SEC-registered investment advisers, the SEC does expect you to have something in place. Your policies and procedures must be “reasonably designed to identify... Apr 7, 2025
