The Top 3 Challenges Facing CCOs in 2025 — And How RIAs Can Get Ahead

Your Firm Has Grown. Has Your Compliance Program? 

As your RIA scales, compliance gets more complex. Learn how to manage that complexity without sacrificing efficiency or readiness. 

In 2025, growth is a double-edged sword. RIAs are navigating a surge in operational complexity — and compliance risk is rising with it. 

According to the latest industry snapshot: 

• 68.5% of firms manage under $1B in AUM, yet many are scaling fast 
• Growing teams, departments, and client demands make compliance far more complex 
• SEC exams and enforcement are becoming more frequent — and more detailed 

For CCOs at midsized firms, the challenge isn’t just meeting expectations — it’s staying ahead of them. 

In this guide, you’ll discover: 

• The top 3 compliance challenges facing growing RIAs 
• How to build scalable compliance infrastructure 
• Where to streamline processes without increasing headcount 

Ready to bring structure, automation, and strategy to your compliance program? Download your guide now and future-proof your growth.