Episode 5: Keeping Your New RIA Compliant

What this episode covers

This week, Jeff & Chuck check in with Key Bridge’s Chief Compliance Officer, Alisha Dowell. Together they unpack the DOs and DON’Ts about RIA compliance. In addition to talking about how to form your RIA… they also discuss how to keep it compliant and what pitfalls you will want to avoid.

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Frequently Asked Questions

How long is this episode of goRIA Podcast?

This episode is 36 minutes long.

When was this goRIA Podcast episode published?

This episode was published on March 5, 2024.

What is this episode about?

This week, Jeff & Chuck check in with Key Bridge’s Chief Compliance Officer, Alisha Dowell. Together they unpack the DOs and DON’Ts about RIA compliance. In addition to talking about how to form your RIA… they also discuss how to keep it compliant...

Can I download this goRIA Podcast episode?

Yes, you can download this episode by clicking the download button on the episode player, or subscribe to the podcast in your preferred podcast app for automatic downloads.