For registered investment advisors (RIAs), navigation of the everevolving landscape of compliance and regulatory requirement changes can feel like walking a tightrope. Adhering to the new regulations is challenging, but also crucial for maintaining trust with clients. Often limited by compliance complexity and regulatory liability, growth-challenged RIAs can quickly become overwhelmed with the operational needs of their practice. Facing suitability standards, best execution requirements, risk management and recordkeeping challenges, RIAs must wear multiple hats to ensure they’re meeting their fiduciary obligations and protecting their clients’ best interests. However, many RIAs find themselves at a disadvantage.

Less than one-fifth (just 18%) of RIAs employ compliance professionals, and these roles can be taxing on firms at lower levels of AUM and become more necessary as firms grow.1 One area of increasing need is technology to keep the compliance challenges from becoming critical barriers to a firm’s success and growth. Fortunately, rebalancing and trading technology advancements have emerged as invaluable tools for RIAs to navigate this regulatory landscape efficiently and effectively