We're a State registered RIA and I am not overly please with our current compliance firm as they have been tremendously slow to deliver my mock audit report. I was audited by the regulators and passed with flying colors without the support of the compliance firm. Per the State I had everything I needed. I am really looking for someone I can outsource my annual ADV filings, updates, someone I can call to ask questions, etc. I don't need a CCO or monthly compliance support subscription. I appreciate any recommendations.

For those of you using AI for note-taking, do you require your client's consent before recording? We are putting together an AI Use Policy and are curious how others are handling this. Thanks.

Hello! Our firm made the decision this week to switch to Wealthbox. Our current/soon to be old CRM is SmartOffice which is very antiquated. The style guide template is very helpful in prepping how we want to organize our data. My question to the group is how do you utilize/determine what's best to be a client category (ex Client - Tier 1) verse using a tag? Our firm has 3 different planning options, manage assets (some clients have planning some don't), and insurance only clients. Thinking through the best way to optimize categories and tags. Thank you for the insight!

which one do you use for email archiving and why?

Our office is growing from a few independent advisors to Team(s) of advisors. One debate we're having is the best way to handle email access. It's great having a support advisor have access to senior advisor emails, so they can monitor and reply. The downside they get exposure to all emails including HR and personal emails not for their eyes. I'm curious what processes &/or tech other firms are using to manage client related emails among team's of advisors?