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Financial Advisors Making Their Way Into the Modern World

By: Daniel D. Hill

Regulators have been the primary bottleneck for slowing the pace of financial advisors.

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Virtual Currencies 101

By: Daniel D. Hill

It is well established that virtual currencies are subject to financial regulations. They are considered both securities and commodities.

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Financial Advisor and Broker Dealer Compliance in 2018

By: Daniel D. Hill

Securities regulators have begun sharing their compliance concerns and focus for the coming year.

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Form ADV Overhaul for RIAs

If you are a Registered Investment Advisor subject to SEC review and/or audit, October 1, 2017 is an important date.

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