Financial Advisor Marketing & Technology

Marketing & Technology For Independent Financial Advisors


2010 RIA Compliance Calendar At

The 2010 RIA Compliance Calendar was posted for free distribution to members of, a practice management portal site for independent financial advisors.

Advisors interested in getting a copy of the 2010 RIA Compliance Calendar can email me for a free six-month membership in advisors4advisors. It will take 10 minutes to register and fill in your profile and then you can download the 2010 RIA Compliance Calendar.

The RIA Compliance Calendar was created by Chris Winn of AdvisorAssist, a compliance consulting firm serving RIAs and B-Ds. It lists 27 key compliance activities for RIAs month-by-month, helping organize RIA compliance responsibilities on a timely basis.

Winn delivered a presentation entitled, “2010 Compliance Planning For RIAs” last Friday at the Financial Advisor Webinar Series. You can replay the session at (Members of are eligible for free CFP CE credit on the replay.)

At the session, Winn answered about 15 questions from attendees. But we ran out of time and could not answer many questions chatted in by attendees. Winn, who writes a blog about RIA, B-D, and Registered Rep compliance issues at, will be answering many questions that we did not have time to answer at the webinar.

Please join us at to access Winn’s blog, obtain CE credit for the webinar, and download the 2010 RIA Compliance Calendar.

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