Navigating Regulatory Compliance with Expert Guidance
Transitioning into the Registered Investment Advisor (RIA) realm can be daunting, especially when it comes to compliance. AssetMark recognizes the challenges faced by financial advisors, particularly those departing from an employer. With a deep understanding of federal, state, and local laws, as well as knowledge of contractual obligations, AssetMark offers invaluable support to ensure a smooth compliance journey. Their network of compliance professionals provides tailored guidance on interpreting the Broker Protocol, navigating contractual agreements, understanding SEC regulations, and even assisting in crafting compliant client communications. By partnering with AssetMark, advisors can embark on their RIA transition with confidence, knowing they are backed by experts in the field.