Adviser Intelligence

Episode 5 - Examination Evolution: A Fresh Look at SEC Exam Trends and Insights

Mon, 30 Mar 2026 11:29:52 -0400

This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com.

Episode 4 - From Compliance to Creativity: Balancing Marketing Rule Compliance and Innovative Marketing

Fri, 20 Feb 2026 13:59:07 -0500

Registered investment advisors face increasing scrutiny under the SEC’s marketing rule, particularly around testimonials, endorsements, third‑party awards, and online reviews. Recent examinations show that enforcement is no longer theoretical—firms of all sizes are being fined for disclosure failures, even where violations appear minor.

Our Investment Management & Securities Compliance Attorneys advise RIAs nationwide on how to market their services while remaining aligned with regulatory expectations. Common risk areas include advisor websites, Google reviews, social media profiles, email signatures, and the use of logos or plaques tied to awards and rankings. In many cases, deficiencies arise not from false statements, but from missing, inadequate, or improperly displayed disclosures.

We work with advisors to review marketing materials, assess compliance risk, and implement practical disclosure strategies that reflect current regulatory guidance. As enforcement evolves, maintaining fair and balanced advertising practices remains critical.

Episode 3 - Basic Blocking and Tackling: The RIA Playbook for Compliance Tasks

Tue, 13 Jan 2026 09:30:03 -0500

RIA compliance tasks are not something firms can “set and forget.” In this episode, Stark & Stark’s investment management and securities lawyers walk through the daily, monthly, quarterly, and annual compliance work RIAs need to stay exam-read, from filings to testing to internal controls.

Episode 2 - Tech Trends: Bitcoin, AI, & Electronic Communication

Tue, 13 Jan 2026 09:27:29 -0500

Investment advisers face rapid changes in technology, from artificial intelligence tools to Bitcoin and electronic communications. Learn how AI note-taking tools impact privacy, attorney-client privilege, and Reg SP compliance. Discover why texting and off-channel communications can trigger SEC scrutiny, and how to keep all business-related messages on compliant platforms. The attorneys also discuss the rise of Bitcoin and crypto ETFs in client portfolios, emphasizing the importance of due diligence, client disclosures, and risk management.

Episode 1 - The ADV Trap: Common Mistakes That Could Cost You—And How to Avoid Them

Tue, 13 Jan 2026 09:25:24 -0500

Stay ahead of regulatory expectations with Episode 1 of Adviser Intelligence, where Stark & Stark’s Investment Management & Securities attorneys break down the most common Form ADV, ADV Part 1, ADV Part 2A, and Form CRS mistakes that investment advisers make—and how to avoid them.