Compliance Checklist for Growing RIA Firms

Make sure your compliance calendar is built to evolve with your business.

Growth brings opportunity, but also increased scrutiny. For RIA firms navigating new service lines, additional clients, or expanding teams, a scalable compliance calendar is critical. This free checklist outlines the top five mid-year priorities to reduce risk, improve coordination, and strengthen oversight for the second half of 2025 and beyond. 

What’s Inside:

• How to ensure your policies evolve with your business 
• A proactive approach to recurring and event-driven filings 
• Steps for marketing review and social media compliance 
• MNPI risk controls and access strategies 
• Recordkeeping best practices across channels like Zoom, Slack, and text 

Why It Matters: 
Staying compliant isn’t just about ticking boxes—it’s about building infrastructure that can handle what’s next. These five tasks are foundational for RIAs looking to evolve with confidence and clarity.