Rule 3a-4: Are RIAs Truly Personalizing Client Portfolios to Stay in the Safe Harbor?

For RIAs expecting protection under Rule 3a-4, the big question is this: Are you providing truly personalized, tailored advice for every client?

Answering “yes” to that question used to mean using tedious manual processes to create individualized, personal portfolios.

But technology has changed the game, offering RIAs the ability to provide those personalized portfolios at scale.

In this whitepaper, you’ll learn more about the requirements of Rule 3a-4, as well as their potential implications for advisors using model portfolios. You’ll also learn how to leverage new technology platforms to stay within the safe harbor.

0440-OAS-8/30/2018