Investment Adviser Association

In 2023, employment in the investment adviser industry grew by 3.6% to reach a record high of 1,006,471 non-clerical staff. Employment growth has been strongest in firms with more than $100 billion in assets. Read more:?https://lnkd.in/eW48JzRS

Who wins the White House? Will Democrats hold the Senate and Republicans the House? What does the future hold for a retirement savings and tax policy, SEC regulation, ESG, electronic delivery? Join us for a webinar on November 8 as a panel of IAA senior management explores the ramifications of the elections for investment advisers and their clients.

As fraudsters increasingly impersonate reputable advisers with fake stock tips on social media, investors are cautioned to watch out for red flags. The U.S. Securities and Exchange Commission warns: Never make investment decisions based solely on information from social media platforms or apps. The IAA will hold a member call on how firms can help mitigate the risk from imposter scams.

Now live on the goRIA podcast, our President & CEO Karen Barr talks with Charles "Chuck" Failla, CFP? about about the community and resources available to professionals making the move to fiduciary advice.

Mukya Porter of CIM Group notes that advisers should be aware of the SEC’s focus on following up through testing, email review, reminders, and training, and what that might mean for employees’ personal text messages. And, consider how a firm’s policies in this space could affect employee privacy and recruiting.

Four more Compliance Workshops to go – four more chances to join the IAA, industry experts, and SEC officials for a deep dive into cybersecurity, AI, the Marketing Rule, and more. The remaining sessions are filling up fast, so register now to secure your seat! https://lnkd.in/dZDAjeD5

The ability to integrate smart contracts into the technology stack of financial markets will lead to disruptive changes in how securities are built, held, and traded. This article by Timothy Spangler, partner at Practus, LLP LLP, discusses the role of smart contracts (and blockchains they are built on) in the next upgrade of financial market infrastructure and the impact on the #investmentadviser world.

Join us in welcoming the IAA's newest members and associate members! We're glad you're here: Intellicapital Advisors LLC, IMA Financial Group, Inc., Gratus Wealth Advisors, LLC, GuideStone Investment Services, Integrated Compliance Advisors, Ltd., Weaver, and Norm Ai.

Last call to register for tomorrow's webinar with Google’s #ArtificialIntelligence expert James Dean! Together we'll discuss one of the hottest topics in the investment management world. #AI is poised to be transformative for the #investmentadviser industry, but there are still many open questions around its application, compliance, and risk management. Join us to get answers. Registration closes today, Monday, October 7, at noon ET. https://lnkd.in/dbRz5XDP

Will you be in New Orleans next week for #SSNCDeliver24? Be sure to catch Karen Barr's session on navigating the ever-changing regulatory landscape.