The Fee-Only Advisor

Navigating the Regulatory Landscape for Investment Advisers
From off-channel communications to complex products, there are several key areas RIAs need to focus on when navigating the regulatory landscape.
The Fee-Only Advisor
Scott Wilkinson, IACCP
08.07.24Estimated Reading Time: 9 Minutes
How to Meet Investment Adviser Code of Ethics Requirements
Learn what to include in your firm's investment adviser code of ethics, so you can stay compliant with SEC regulations and continue meeting your fiduciary obligations to clients.
The Fee-Only Advisor
Scott Wilkinson, IACCP
08.09.23Estimated Reading Time: 9 Minutes
What It Takes to Run an RIA: Compliance Program Must-Haves
Is it the right time to run an RIA? From hiring a CCO to putting the right policies in place, a good place to start is with these compliance program must-haves.
The Fee-Only Advisor
Scott Wilkinson, IACCP
11.02.22Estimated Reading Time: 8 Minutes
The Truth About Being a Fee-Only Advisor
The realities of running fee-only business can come as a surprise to some advisors. Having a clear idea of what to expect can help make for a smooth transition.
The Fee-Only Advisor
Erin Esposito
07.14.21Estimated Reading Time: 6 Minutes
Going Fee-Only? Strategies for Handling Legacy Commission Accounts
Making the move to fee-only means saying goodbye your legacy commission accounts. Explore options for keeping your relationships after you walk away from the revenue.
The Fee-Only Advisor
Brian Lampron, AIF
05.26.21Estimated Reading Time: 4 Minutes
Dropping Your FINRA Registrations: A View from Compliance
Thinking about taking the fee-only path? Be sure you understand the compliance obligations for IARs and RIAs.
The Fee-Only Advisor
Scott Wilkinson, IACCP
04.07.21Estimated Reading Time: 7 Minutes

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Hi, I'm Becca, managing principal, chief business development officer at Commonwealth. I can't wait to learn more about you and share our Commonwealth story.

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Navigating the Regulatory Landscape for Investment Advisers

How to Meet Investment Adviser Code of Ethics Requirements

What It Takes to Run an RIA: Compliance Program Must-Haves

The Truth About Being a Fee-Only Advisor

Going Fee-Only? Strategies for Handling Legacy Commission Accounts

Dropping Your FINRA Registrations: A View from Compliance

Are we a good fit?