Smartria resources

The fear is real: Why compliance leaders are still missing critical risks In 2025

There’s a particular kind of anxiety that’s hard to explain to anyone outside compliance. It’s not the fear of outright failure, but something quieter, more persistent…
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Insights

Insights, best practices, and expert advice, to inform and inspire.
February 18, 2026
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Published by Patrick Hunt
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5 Warning Signs Your 30-Person Firm Is Headed for a Compliance Pileup

Growth feels good. Revenue is up. Advisors are joining. You’ve crossed roughly 30 employees, and nothing feels broken. That’s exactly why this stage is dangerous. The 30–50 employee range is where compliance […]
February 16, 2026
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Published by Patrick Hunt
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New SEC Marketing Rule FAQs: What RIAs Need to Change in 2026

(And Why Your 2022 Policy Might Now Be Wrong) Most firms believe they’re being conservative. “Use model fees.”“Ban promoters with disciplinary history.”“Lock it down so we don’t get cute with marketing.” Those […]

News

Glimpse into the industry and the industry leader.
February 2, 2026
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Published by Patrick Hunt
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SEC’s Finders Framework & Private Secondary Boom: 3 Compliance Actions RIAs Must Take Before Feb 24 Meeting

On February 24, 2026, the SEC’s Small Business Capital Formation Advisory Committee will meet to continue discussions on the regulatory framework for “finders” and to examine the growing role of the private […]
January 23, 2026
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Published by Patrick Hunt
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SEC Proposes Updates to “Small Entity” Definitions: Why It Matters for RIAs and Future Rulemaking

On January 7, 2026, the Securities and Exchange Commission proposed amendments to how “small entities” are defined for investment advisers and investment companies under the Regulatory Flexibility Act (RFA). At first glance, […]
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