Risk Management Considerations within Fee-Only Firms

The presentation will address a broad spectrum of risks facing RIA firms and their owners. From professional and fiduciary exposures to crime and fraud matters to employment risk and location specific risks. You will learn about the types of claims we are seeing in the industry and how to best protect your firm.

Learning Objectives:

1. Learn the key risks facing RIAs today
2. Understand claim trends and how various insurance claims work in the real world
3. Understand what RIAs can do to protect themselves